Rule 506(a) definition

Rule 506(a) means Rule 506(a) promulgated under the Securities Act.
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Examples of Rule 506(a) in a sentence

  • Under SEF Rule 506(a), formal hearings on any Notice will be conducted by the Hearing Panel selected by the Board.

  • After 180 days of continuous incarceration but subject to the exceptions in Rule 501(k), every prospective current support obligation established or modified after January 31, 2019 will automatically decrease to one half of the minimum order amount recited in Rule 506(a) as of the date of the order.

  • Thiscontract form ensures the manager and the shareholders are as well off as they would be if the shareholders monitored the manager’s performance.

  • Even if the Commission determines it has the jurisdiction and legal authority to force poolcounty government-owned minerals, it should enter summary judgment for the County based on Extraction’s failure to submit an application demonstrating its ownership or control of more than 45% of the minerals in the Application as required by Rule 506(a) and C.R.S. § 34-60- 116(6)(b)(1).

  • Under Rule 506(a), formal hearings on any Notice shall be conducted by the Hearing Panel selected by the Board.

  • The Commission shall give notice of the filing of such stipulation to all other interested parties in the manner provided in Rule 5.06a.

  • Notwithstanding anything contained in the this Agreement or any agreement to which the Executive is a party or by which the Executive may be bound, this Section 10(b) will be limited to comply with Rule 5.06(a) of the Texas Disciplinary Rules of Professional Conduct or other similar applicable law or ethical or professional rules or restrictions.

Related to Rule 506(a)

  • 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.

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

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

  • 1933 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 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 904 means Rule 904 promulgated under the Securities Act.

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

  • Institutional Accredited Investor means an institution that is an “accredited investor” as defined in Rule 501(a)(1), (2), (3) or (7) under the Securities Act, who are not also QIBs.

  • Rule 903 means Rule 903 promulgated under the Securities Act.

  • Accredited Investors should complete this Section

  • Regulation S means Regulation S promulgated under the Securities Act.

  • Institutional Accredited Investors Institutions that are “accredited investors” within the meaning of Rule 501(a) (1), (2), (3) or (7) of Regulation D under the Act or any entity all of the equity owners of which are such institutions.

  • 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.

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

  • Rule 144A Letter As defined in Section 5.02(b).

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

  • 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 3a-7 means Rule 3a-7 under the Investment Company 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. Accredited Investor means an “accredited investor” as defined in Rule 501(a) of Regulation D;

  • Rule 173 “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the 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(k) Period means the period of two years (or such shorter period as may hereafter be referred to in Rule 144(k) under the Securities Act (or similar successor rule)) commencing on the Issue Date.

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

  • Prohibited Investor means a person or entity whose name appears on (i) the List of Specially Designated Nationals and Blocked Persons maintained by the U.S. Office of Foreign Assets Control; (ii) other lists of prohibited persons and entities as may be mandated by applicable law or regulation; or (iii) such other lists of prohibited persons and entities as may be provided to the Fund in connection therewith;