Rule 504 definition

Rule 504 means Rule 504 of Regulation D under the Securities Act, as amended from time to time.
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Rule 504 means Rule 504 of SEC Regulation D, 17 CFR §230.504, promulgated pursuant to the Securities Act of 1933, 15 U.S.C. §77a et seq.
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Rule 504 means Rule 504 of the SEC Regulation D, 17 C.F.R. Section 230.504, promulgated pursuant to the Securities Act of 1933, 15 U.S.C. Sections 77a, et seq., and any amendments thereto.
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Examples of Rule 504 in a sentence

  • A “Limited Offering” means an offering that is exempt from registration under the Securities Act of 1933 pursuant to Section 4(2) or Section 4(6) or pursuant to Rule 504, Rule 505 or Rule 506 under the Securities Act of 1933.

  • A "Limited Offering" means an offering that is exempt from registration under the Securities Act of 1933 pursuant to Section 4(2) or Section 4(6) or pursuant to Rule 504, Rule 505, or Rule 506 under the Securities Act of 1933.

  • A “Limited Offering” means an offering that is exempt from registration under the Securities Act of 1933 pursuant to Section 4(2) or Section 4(6) or pursuant to Rule 504, Rule 505, or Rule 506 under the Securities Act of 1933.

  • A "Limited Offering" means an offering that is exempt from registration under the Securities Act of 1933 pursuant to Section 4(2) or Section 4(6) or pursuant to Rule 504, Rule 505 or Rule 506 under the Securities Act of 1933.

  • A “Limited Offering” means an offering that is exempt from registration under the 1933 Act pursuant to Section 4(2) or Section 4(6) or pursuant to Rule 504, Rule 505, or Rule 506 under the 1933 Act.

  • The term “ limited offering” shall mean an offering that is exempt from registration under the Securities Act of 1933 pursuant to section 4(2) or section 4(6) thereof or pursuant to Rule 504, Rule 505, or Rule 506 thereunder.

  • A “limited offering” means an offering that is exempt from registration under the Securities Act of 1933 pursuant to Section 4(a)(2) or Section 4(a)(6) or pursuant to Rule 504, Rule 505, or Rule 506 under the Securities Act of 1933.

  • A "Limited Offering" means an offering that is exempt from registration under the Securities Act of 1933 pursuant to Section 4(2) or Section 4(6) thereof or pursuant to Rule 504, Rule 505 or Rule 506 thereunder.

  • A “Limited Offering” means an offering that is exempt from registration under the Securities Act of 1933 pursuant to Section 4(2) or Section 4(6) thereof or pursuant to Rule 504, Rule 505 or Rule 506 thereunder.

  • A "limited offering" means an offering that is exempt from registration under the Securities Act of 1933 pursuant to Section 4(2) or Section 4(6) or pursuant to Rule 504, Rule 505, or Rule 506 under the Securities Act of 1933.


More Definitions of Rule 504

Rule 504 means Rule 504 of SEC Regulation D, 17 C.F.R. § 230.504, promulgated pursuant to the Securities Act of 1933, 15 U.S.C. §§ 77a-77mm, and any amendments thereto. B. Short-form registration statement. For any offer or sale of securities offered or sold pursuant to this Rule, the IMC Statement shall be used as the registration statement required to be filed with the Division under this Rule. A copy of the IMC Statement is available from the Division upon request. Any offer or sale of securities offered or sold in compliance with this Rule must satisfy the following conditions and limitations: 1. The issuer of the securities is a business corporation or limited liability company formed under the laws of this state with a principal place of business in this state and is authorized to do business in this state. 2. The issuer is not, either before or as a result of the offering, an investment company as defined in Section 3 of the Investment Company Act of 1940, 15U.S.C. § 80a-3, or subject to the reporting requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, 15 U.S.C §§ 78m and 78o(d). 3. The aggregate amount sold to all investors by the issuer, including any amount sold in reliance on the simplified registration provided under this Rule duringthe twelve (12) month period preceding the date of such transaction, is not more than Five Million Dollars ($5,000,000.00).
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Rule 504 means Rule 504 of Regulation D (17 CFR 230.504 (1999)) promulgated by the SEC under the Securities Act of 1933, which is incorporated by refer- ence and is on file with the office of the Secretary of State. The incorporated material contains no later editions or amendments. Copies of rule 504 are available from the Commission and from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402.
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Rule 504 means Rule 504 of Regulation D (17 CFR 230.504 (1994)) promulgated by the SEC under the Securities Act of 1933, which is incorporated by reference and is on file with the Office of the Secretary of State.
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Rule 504 means Rule 504 of SEC Regulation D, 17 CFR §230.504, promulgated pursuant to the Securities Act of 1933, 15 U.S.C. §77a et seq. ­4. “Security” or “Securities” shall have the same meaning as is set forth in 32 M.R.S. §16102(28).
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Rule 504. The Issuer shall commit to the issuance of the first $1 million of Common Shares as unrestricted shares under SEC Rule 504. Such Common Shares will comprise the first million dollars of the first tranche.
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Related to Rule 504

  • Rule 501 means Rule 501(a)(1), (2), (3) or (7) under the Securities Act.

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

  • Rule 3a-5 means Rule 3a-5 under the Investment Company Act.

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

  • Rule 3a-7 means Rule 3a-7 under the Investment Company Act.

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

  • SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.

  • 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.

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

  • Rule 17f-5 means Rule 17f-5 promulgated under the 1940 Act.

  • Regulation D means Regulation D of the Board of Governors of the Federal Reserve System as from time to time in effect and any successor thereto or other regulation or official interpretation of said Board of Governors relating to reserve requirements applicable to member banks of the Federal Reserve System.

  • 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.

  • FRB Regulation D means Regulation D as promulgated by the Board of Governors of the Federal Reserve System, 12 CFR Part 204, as amended.

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

  • Accredited Investor has the meaning set forth in Regulation D promulgated under the Securities Act.

  • Rule 17f-7 means Rule 17f-7 promulgated under the 1940 Act.

  • Qualified Institutional Buyer means any Person who is a “qualified institutional buyer” within the meaning of such term as set forth in Rule 144A(a)(1) under the Securities 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.

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

  • CFTC Regulations means the rules and regulations promulgated by the CFTC, as amended.

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

  • 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.

  • Rule 904 means Rule 904 promulgated under the Securities Act.

  • Rule 506(d) Related Party means, with respect to any Person, any other Person that is a beneficial owner of such first Person’s securities for purposes of Rule 506(d) under the Securities Act.

  • Investment Company Act of 1940 means the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.

  • Qualified Institutional Buyers as defined in Rule 144A. It is aware that the sale of the Privately Offered Certificates is being made in reliance on its continued compliance with Rule 144A. It is aware that the transferor may rely on the exemption from the provisions of Section 5 of the Act provided by Rule 144A. The undersigned understands that the Privately Offered Certificates may be resold, pledged or transferred only to (i) a person reasonably believed to be a Qualified Institutional Buyer that purchases for its own account or for the account of a Qualified Institutional Buyer to whom notice is given that the resale, pledge or transfer is being made in reliance in Rule 144A, or (ii) an institutional "accredited investor," as such term is defined under Rule 501 of the Act in a transaction that otherwise does not constitute a public offering. The undersigned agrees that if at some future time it wishes to dispose of or exchange any of the Privately Offered Certificates, it will not transfer or exchange any of the Privately Offered Certificates to a Qualified Institutional Buyer without first obtaining a Rule 144A and Related Matters Certificate in the form hereof from the transferee and delivering such certificate to the addressees hereof. Prior to making any transfer of Privately Offered Certificates, if the proposed Transferee is an institutional "accredited investor," the transferor shall obtain from the transferee and deliver to the addressees hereof an Investment Letter in the form attached to the Pooling and Servicing Agreement, dated as of March 1, 2002, among Structured Asset Mortgage Investments Inc., Wells Fargo Bank Mixxxxxta, National Association, EMC Mortgage Corporation and Bank One, National Association, as Trustee, pursuant to Certificates were issued. The undersigned certifies that it either: (i) is not acquiring the Privately Offered Certificate directly or indirectly by, or on behalf of, an employee benefit plan or other retirement arrangement which is subject to Title I of the Employee Retirement Income Security Act of 1974, as amended, and/or section 4975 of the Internal Revenue Code of 1986, as amended, or (ii) is providing a representation or an opinion of counsel to the effect that the proposed transfer and/or holding of a Privately Offered Certificate and the servicing, management and/or operation of the Trust and its assets: (I) will not result in any prohibited transaction which is not covered under a prohibited transaction exemption, including, but not limited to, Prohibited Transaction Exemption ("PTE") 84- 14, PTE 91-38, XXX 00-0, XXX 00-00, XXX 00-00 xr Section 401(c) of ERISA and the regulations to be promulgated thereunder and (II) will not give rise to any additional fiduciary duties on the part of the Seller, the Master Servicer or the Trustee. If the Purchaser proposes that its Certificates be registered in the name of a nominee on its behalf, the Purchaser has identified such nominee below, and has caused such nominee to complete the Nominee Acknowledgment at the end of this letter. Name of Nominee (if any):