Rule 4(a)(2) definition

Rule 4(a)(2) means Section 4(a)(2) adopted by the SEC under the U.S. Securities Act; “SEC” means the United States Securities and Exchange Commission;
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Rule 4(a)(2) means Rule 4(a)(2) under the U.S. Securities Act;
Sample 1

Examples of Rule 4(a)(2) in a sentence

  • By virtue of Rule 4(a)(2) and Rule 144(d)(3)(ii) under the Securities Act, each of the Exchange Securities will have a Rule 144 holding period that will be deemed to have commenced as of February 8, 2017, the date of the original issuance of the February Note to the Holder.

  • By virtue of Rule 4(a)(2) and Rule 144(d)(iii)(2) under the Securities Act, each of the Securities will have a Rule 144 holding period that will be deemed to have commenced as of August 16, 2017, the date of the original issuance of the August Note to the Holder.

  • The Series B Indenture is qualified under the TIA; the Series A Indenture is exempt from the TIA under Rule 4a-2.

  • The Investor acknowledges and agrees that the Exchange is being made in reliance upon the exemption from registration provided by Rule 4(a)(2) and Rule 144(d)(3)(ii) of the 1933 Act and the securities of the Company being issued to the Investor in the Exchange will be issued exclusively in the Exchange for the surrender and cancellation of the Exchange Notes and no other consideration has or will be paid to the Company for the New Warrants to effect the Exchange hereunder.

  • Rule 4a-2 of the Trust Indenture Act of 1939 states, "[t]he provisions of the Trust Indenture Act of 1939 shall not apply to any security that has been issued or will be issued in accordance with the provisions of Regulation A under the Securities Act of 1933." Commission's Comment 1.

  • The Warrants are expected to be issued in a transaction exempt from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”), pursuant to Rule 4(a)(2) thereunder.

Related to Rule 4(a)(2)

  • Rule 497 refers to Rule 497(c) or 497(h) under the Act, as applicable.

  • Rule 415 Offering means an offering on a delayed or continuous basis pursuant to Rule 415 (or any successor rule to similar effect) promulgated under the Securities Act.

  • Rule 415 means Rule 415 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule.

  • Rule 462 refer to such rules under the Act.

  • Securities Act means the Securities Act of 1933, as amended.

  • 1933 Act means the Securities Act of 1933, as amended.

  • Rule 159A “Rule 405” and “Rule 415” mean, in each case, such rule promulgated under the Securities Act (or any successor provision), as the same shall be amended from time to time.

  • 1933 Securities Act means the Securities Act of 1933 of the United States, as amended, and the rules and regulations thereunder, and any comparable or successor laws or regulations thereto.

  • Rule 424 means Rule 424 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended or interpreted from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same purpose and effect as such Rule.

  • Rule 163 “Rule 164”, “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • 1933 Act Regulations means the rules and regulations of the Commission under the 1933 Act.

  • Rule 430A and "Rule 462" refer to such rules under the Act.

  • Rule 15c2-12 means Rule 15c2-12 under the Securities Exchange Act of 1934, as amended through the date of this Undertaking, including any official interpretations thereof.

  • Rule 173 “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 144 means Rule 144 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule.

  • U.S. Securities Act means the United States Securities Act of 1933, as amended;

  • Rule 430A Information means information with respect to the Securities and the offering thereof permitted to be omitted from the Registration Statement when it becomes effective pursuant to Rule 430A.

  • Rule 430B Information means the information included in any preliminary prospectus or the Prospectus or any amendment or supplement to any of the foregoing that was omitted from the Registration Statement at the time it first became effective but is deemed to be part of and included in the Registration Statement pursuant to Rule 430B.

  • Rule 433 and “Rule 462” refer to such rules under the Act.

  • Rule 144A means Rule 144A promulgated under the Securities Act.

  • Rule 164 “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • rule making ’ means agency process for formulating, amending, or repealing a rule;

  • SEC Rule 144 means Rule 144 promulgated by the SEC under the Securities Act.

  • Securities Act (Ontario) means the Securities Act, R.S.O. 1990, c. S.5, as amended, and the regulations thereunder, and any comparable or successor laws or regulations thereto;

  • SEC Regulation D means Regulation D as promulgated under the Securities Act of 1933, as amended, as the same may be in effect from time to time.