New Issue definition

New Issue means an offering of securities registered under the Securities Act, the issuer of which, immediately before the registration, was not required to file reports under Sections 13 or 15(d) of the Exchange Act.

New Issue means any initial public offering of an equity security as defined in Section 3(a)(11) of the Exchange Act, made pursuant to a registration statement or offering circular. New issue shall not include:

New Issue. Bloomberg filed with the Commission on February 23, 2021 pursuant to Rule 497(a) (as a Rule 482ad).

Examples of New Issue in a sentence

• The Ethics Committee will review these proposed investments on a case-by-case basis except for those circumstances in which advance general approval may be appropriate because it is clear that conflicts are very unlikely to arise due to the nature of the opportunity for investing in the New Issue or Limited Offering.

• No Employee shall directly or indirectly acquire a Beneficial Interest in Limited Offering securities or securities in a New Issue without the prior consent of the Ethics Committee.

• Additionally, Limited Offering securities and New Issue securities may not be purchased for Firm employee profit sharing plans and other Firm employee savings or benefits plans without the prior consent of the Ethics Committee.

• For an IPO purchase request, the Access Person must complete a New Issue Certification form, which can be found on BairdWeb, and submit the form to the Investment Advisory Unit of the Compliance Department for review.

• In addition, it is further proposed, by way of a separate ordinary resolution, that the New Issue Mandate be extended so that the Directors be given a general mandate to issue further Shares of a number equal to the number of the Shares repurchased by the Company under the Repurchase Mandate.

More Definitions of New Issue

New Issue is any equity securities of an initial public offering as described in the NASD Rule, or otherwise as such term may be interpreted from time to time under the then current rules of the NASD.

New Issue. Bloomberg filed with the Commission on December 1, 2016 pursuant to Rule 497(a) (as a Rule 482ad).

New Issue means, in relation to any Issuer falling within paragraphs (i) and (ii) of the definition of that term in the Rules, the issue or sale of shares in the capital, warrants, Depositary Receipts, Structured Products or Debt Securities of that Issuer and in relation to any Issuer falling within paragraph (iii) of that definition, the first issue or sale of Units on the Unit Trust of which the Issuer is the manager or trustee, in each case in accordance with the terms and conditions of a Prospectus;

New Issue means an equity Security owned by the ICAV that was purchased in a “new issue”, as defined in Financial Industry Regulatory Authority (FINRA) Rule 5130 or any offering regulated by any subsequent similar or successor statute or regulation governing the purchase or sale of Securities by brokers and dealers.

New Issue has the meaning assigned to such term in Section 3.5(a) hereof.

New Issue has the meaning set forth in Section 3.5.

New Issue has the meaning given to in Clause 9.2;