New Issues definition

New Issues means an initial public offering of an equity security sold or distributed by a FINRA member.

New Issues means “new issues” as defined pursuant to FINRA Rules, as amended, extended, consolidated, substituted or re-enacted from time to time to include any initial public offering of an equity security as defined in Section 3(a)(11) of the 1934 Act;

New Issues means any initial public offering of an equity security as defined

Examples of New Issues in a sentence

• If we are such a member of FINRA, we agree that in making sales of Securities we will comply with all applicable interpretative materials and FINRA Rules and NASD Conduct Rules, including, without limitation, NASD Conduct Rules 2740 (relating to Selling Concessions, Discounts and Other Allowances) and FINRA Rule 5130 (relating to New Issues).

• If we are a member as described in (i), we agree that in making sales of the Securities we will comply with all applicable interpretative materials and Conduct Rules of the NASD, including, without limitation, Conduct Rules 2740 (relating to Selling Concessions, Discounts and Other Allowances) and 2790 (relating to New Issues).

• As one consequence, no Employee may purchase New Issues in primary or secondary distributions, unless prior written approval is obtained and certain other requirements are met, as described above in Section III.

• NOTE 3: It is the responsibility of the applicant to ensure that the development complies with the provision of the Council Engineering Standards.

• Invited Speaker on “A Review of New Issues Puzzles” at the Fourth OECD/ADBI Round Table on Capital Market Reforms in Asia on April 9-10, 2002 in Tokyo, Japan.

More Definitions of New Issues

New Issues means "new issues" as defined in the rulebook of the US Financial Industry Regulatory Authority Inc., or such other laws, rules and regulations as may from time to time apply as may be disclosed in the Offering Memorandum, or as otherwise determined by the Directors.

New Issues means New Securities issued by the Company, including for this purpose (but not limited to) New Securities: (i) deemed to be issued pursuant to Article 15.8 and New Securities, (ii) issued (whether by the Company itself or by the acquiring or surviving entity in the transaction, which shall be deemed an Issuance by the Company) as part of (a) an IPO or QIPO (notwithstanding that such securities are generally included in the definition of “Exempted Securities” in these Articles), and/or (b) a Deemed Liquidation and/or Reverse Merger, and (iii) which have been declared to be “Exempted Securities” pursuant to clause (G) of the definition of such term herein; provided however that New Issues shall not include any Securities issued (or deemed issued) in a particular transaction if each Lead Investor, each in its sole discretion, agrees that such Securities shall not be New Issues.

New Issues. “New Issues,” as such term is used in the New Issues Rule.

New Issues means as such term is used in the context of the New Issues Rule. “New Issues Account”‌ “New Issues Account” refers to a special account of the Partnership into which shall be placed the proceeds of any investment in any security which is the subject of an initial public distribution and which may trade in a secondary market initially at a premium to its issue price whenever such secondary market begins or as subsequently amended by FINRA, and nothing to the contrary withstanding, has the same meaning as set forth in sections 8.19 and 8.20 hereof. “New Issues Rule”‌

New Issues shall have the meaning ascribed to such term in NASD Rule 2790, or any applicable successor rule, regulation or interpretation.

New Issues means as defined pursuant to FINRA Rule 5130 to include any initial public offering of an equity security as defined in Section 3(a)(11) of the US Securities Exchange Act of 1934 made pursuant to a registration statement or offering circular;

New Issues means initial public offerings of equity securities.