Rule 501(a) definition

Rule 501(a). Rule 501(a) promulgated under the Securities Act.

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Rule 501(a) means Rule 501(a) as promulgated by the Commission under the Securities Act, as such rule may be amended from time to time, or any similar successor rule that may be promulgated by the Commission.

Rule 501(a) has the meaning set forth in Section 6.5.

Examples of Rule 501(a) in a sentence

• The Buyer is an “accredited investor” as that term is defined in Rule 501(a) of Regulation D (an “Accredited Investor”).

• The Company acknowledges and agrees that a Purchaser may from time to time pledge pursuant to a bona fide margin agreement with a registered broker-dealer or grant a security interest in some or all of the Securities to a financial institution that is an “accredited investor” as defined in Rule 501(a) under the Securities Act and, if required under the terms of such arrangement, such Purchaser may transfer pledged or secured Securities to the pledgees or secured parties.

• The Purchaser is an accredited investor as defined in Rule 501(a) of Regulation D promulgated under the Securities Act.

• Such Buyer is an “accredited investor” as that term is defined in Rule 501(a) of Regulation D.

• Subscriber represents that it is an “accredited investor” as such term is defined in Rule 501(a) of Regulation D under the Securities Act of 1933, as amended (the “Securities Act”) and acknowledges the sale contemplated hereby is being made in reliance on a private placement exemption to “accredited investors” within the meaning of Section 501(a) of Regulation D under the Securities Act or similar exemptions under state law.

• Subscriber represents that it is an “accredited investor” as such term is defined in Rule 501(a) of Regulation D under the Securities Act of 1933, as amended (the “Securities Act”), and acknowledges that the sale contemplated hereby is being made in reliance, among other things, on a private placement exemption to “accredited investors” under the Securities Act and similar exemptions under state law.

• The Investor is an “accredited investor” as that term is defined in Rule 501(a) of Regulation D.

• The Buyer is an "accredited investor" as that term is defined in Rule 501(a) of Regulation D (an "Accredited Investor").

• The Purchaser is an “accredited investor” as defined in Rule 501(a) of Regulation D promulgated under the Securities Act.

• The Company acknowledges and agrees that a Purchaser may from time to time pledge pursuant to a bona fide margin agreement with a registered broker-dealer or grant a security interest in some or all of the Warrants or Warrant Shares to a financial institution that is an “accredited investor” as defined in Rule 501(a) under the Securities Act and, if required under the terms of such arrangement, such Purchaser may transfer pledged or secured Warrants or Warrant Shares to the pledgees or secured parties.

More Definitions of Rule 501(a)

Rule 501(a) has the meaning given in Regulation D of the Securities Act.

Rule 501(a) means Rule 501(a) promulgated under the Securities Act.

Rule 501(a) means Rule 501(a) of Regulation D promulgated under the Securities Act.

Rule 501(a) means Rule 501(a)(1), (2), (3), (5), (6), (7) or (8) promulgated under the Securities Act.

Rule 501(a) has the meaning set forth in Section 6.5. “SEC” means Securities and Exchange Commission. 4 “Securities Act” has the meaning set forth in Section 4.6.6. “Subordinated Debt” has the meaning set forth in the recitals hereto. “Subordinated Note” means the Subordinated Note (or collectively, the “Subordinated Notes”) in the form attached as Exhibit A hereto, as amended, restated, supplemented or modified from time to time and each Subordinated Note delivered in substitution or exchange for such Subordinated Note. “Subordinated Note Amount” has the meaning set forth in the recitals hereto. “Subsidiary” means with respect to any Person, any corporation or entity in which a majority of the outstanding Equity Interest is directly or indirectly owned by such Person. “Tier 2 Capital” has the meaning given to the term “Tier 2 capital” in Appendix A to 12 C.F.R. Part 225 (“Capital Adequacy Guidelines for Bank Holding Companies: Risk-Based Measure”), as amended, modified and supplemented and in effect from time to time or any replacement thereof.