SEC Rule 15a-6 definition
Examples of SEC Rule 15a-6 in a sentence
Without limiting the foregoing, each Group Company which is engaged in the securities brokerage business does not conduct such business in the United States or with U.S. Persons, except as permitted under SEC Rule 15a-6 promulgated under the U.S. Securities Exchange Act of 1934 (“Rule 15a-6”).
The e-portfolio system will be installed on the IT equipment at the date of delivery to each establishment.
Counterparty agrees and acknowledges that (x) if Counterparty, or any entity (whether acting as investment manager, investment advisor or otherwise) entering any Transaction as agent on behalf of Counterparty, is legally organized or formed in the United States, to the extent as required pursuant to the safe harbor from registration as a broker-dealer contained in SEC Rule 15a-6, BNP Paribas Securities Corp.
Further, the Equity Offering will be made (i) outside the United States in reliance on Regulation S under the United States Securities Act of 1933, as amended, (the “US Securities Act”) and (ii) in the United States to “qualified institutional buyers” (“QIBs”) as defined in Rule 144A under the US Securities Act as well as to U.S. institutional investors under SEC Rule 15a-6 to the United States Exchange Act of 1934.
For the avoidance of doubt, MSCO and KPS acknowledge that MSCO may make such payments to KPS subject to SEC Rule 15a-6.
Company agrees and acknowledges that (i) if Company, or any entity (whether acting as investment manager, investment advisor or otherwise) entering this Agreement as agent on behalf of Company, is legally organized or formed in the United States, to the extent as required pursuant to the safe harbor from registration as a broker-dealer contained in SEC Rule 15a-6, BNP Paribas Securities Corp.