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(32) The phrase “particular person linked to a municipal securities seller†when made use of with regard to your municipal securities supplier and that is a financial institution or maybe a division or Office of the lender suggests anyone specifically engaged inside the management, direction, supervision, or functionality of any with the municipal securities dealer’s actions with respect to municipal securities, and any person straight or indirectly controlling this sort of activities or managed from the municipal securities supplier in connection with this sort of pursuits.
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(58)Audit committee.—The expression “audit committee†signifies— (A) a committee (or equal system) proven by and among the board of administrators of an issuer for the goal of overseeing the accounting and fiscal reporting procedures with the issuer and audits in the financial statements of the issuer; and
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(III) a syndicate of banks of which the lender is actually a member, When the obligations or pool of obligations contains home finance loan obligations or client-linked receivables.
(iv) excluded, on the basis of exceeding a least price tag, net tangible assets on the issuer, or other applicable criteria, within the definition of this sort of phrase by rule or regulation which the Commission shall prescribe for uses of the paragraph; or
(IV) any standardized, credit rating Increased personal debt security issued by a international governing administration pursuant to the March 1989 approach of then Secretary on the Treasury Brady, employed by these types of international authorities to retire excellent industrial financial institution financial loans.
(eight) The phrase “issuer†suggests any person who concerns or proposes to issue any stability; besides that with regard to certificates of deposit for securities, voting-have faith in certificates, or collateral-have faith in certificates, or with regard to certificates of curiosity or shares within an unincorporated investment belief not aquiring a board of directors or in the preset, limited management, or device kind, the phrase “issuer†indicates the person or people performing the acts and assuming the responsibilities of depositor or supervisor pursuant for the provisions of your rely on or other settlement or instrument beneath which this sort of securities are issued; and apart from that with respect to devices-have confidence in certificates or like securities, the time period “issuer†signifies the person by whom the gear or assets is, or is usually to be, utilised.
(iii) (I) a deal of sale for upcoming shipping around the index traded over a designated agreement market or registered derivatives transaction execution facility for at least thirty times like a agreement of sale for future shipping on an index that was not a narrow-centered security index; and