CAUTION: Lexata's content was last updated in 2024 and may not reflect current securities regulatory requirements.
(1) In this Instrument:
“SEC issuer” means an issuer that
(a) has a class of securities registered under section 12 of the 1934 Act or is required to file reports under section 15(d) of the 1934 Act; and
(b) is not registered or required to be registered as an investment company under the Investment Company Act of 1940 of the United States of America, as amended;