Securities Act Rules definition

Securities Act Rules means the rules and regulations promulgated by the Commission pursuant to the Securities Act, as the same shall be in effect at the date of any determination to be made hereunder.
Securities Act Rules means the rules promulgated by the SEC under the Securities Act.

Examples of Securities Act Rules in a sentence

  • The accountants who have certified certain financial statements appearing in the Prospectus are an independent registered public accounting firm within the meaning of the Securities Act and the Securities Act Rules and Regulations.

  • The term “preliminary Prospectus” as used herein shall mean a preliminary prospectus related to the Shares as contemplated by Rule 430 or Rule 430A of the Securities Act Rules and Regulations included at any time as part of the Registration Statement.

  • In giving this consent, we do not thereby admit that we are within the category of persons whose consent is required under Section 7 of the Securities Act or the Securities Act Rules and Regulations.

  • An offering exempt from registration under Securities Act Sections 4(2) or 4(6) or pursuant to Securities Act Rules 504, 505 or 506.

  • The Company meets the requirements for use of Form N-2 under the Securities Act and the Securities Act Rules and Regulations.

  • Each Investor understands and acknowledges that the SEC currently takes the position that coverage of Short Sales of shares of the Common Stock “against the box” prior to effectiveness of a resale registration statement with securities included in such registration statement would be a violation of Section 5 of the 1933 Act, as set forth in Item 239.10 of the Securities Act Rules Compliance and Disclosure Interpretations compiled by the Office of Chief Counsel, Division of Corporation Finance.

  • There are no contracts, agreements or understandings of the Company or any of its Subsidiaries that are required to be filed as exhibits to the Registration Statement by the Securities Act or by the Securities Act Rules and Regulations that have not been so filed or incorporated by reference therein as permitted by the Securities Act Rules and Regulations.

  • The term "Preliminary Prospectus" as used herein means any preliminary prospectus (including any preliminary statement of additional information) included at any time as a part of the registration statement and any preliminary prospectus (including any preliminary statement of additional information) omitted therefrom pursuant to the Securities Act Rules.

  • The term “preliminary Prospectus” as used herein shall mean a preliminary prospectus related to the Units as contemplated by Rule 430 or Rule 430A of the Securities Act Rules and Regulations included at any time as part of the Registration Statement.

  • For guidance, refer to Securities Act Rules Compliance and Disclosure Interpretation, Question 229.01.


More Definitions of Securities Act Rules

Securities Act Rules means Rule 501(a)(1), (2), (3), and (7) of the Securities Act. “Solicitation” means the solicitation of votes on the Plan.
Securities Act Rules means rules promulgated by the SEC under the Securities Act, and all applicable guidance released by the SEC.
Securities Act Rules means Rule 501(a)(1), (2), (3), and (7) of the Securities Act.
Securities Act Rules means the rules and regulations of the Commission under the Securities Act. If the foregoing correctly sets forth the understanding between the Company and Wells Fargo, please so indicate in the space provided below for that purpose, whereupon this letter shall constitute a binding agreement between the Company and Wells Fargo. Very truly yours, WELLS FARGO SECURITIES, LLC By: /s/ Elizabeth Alvarez Name: Elizabeth Alvarez Title: Managing Director ACCEPTED as of the date first-above written: BOSTON OMAHA CORPORATION By: /s/ Adam K. Peterson Name: Adam K. Peterson Title: Co-Chief Executive Officer SCHEDULE 1 FORM OF PLACEMENT NOTICE From: [ ] Cc: [ ] To: [ ] Subject: Wells Fargo At the Market Offering—Placement Notice Gentlemen: Pursuant to the terms and subject to the conditions contained in the Sales Agreement between Boston Omaha Corporation (the “Company”) and Wells Fargo Securities, LLC (“Wells Fargo”) dated [⦁], 2021, (the “Agreement”), I hereby request on behalf of the Company that Wells Fargo sell up to [ ] shares of the Company’s Class A Common Stock, par value $0.001 per share, at a minimum market price of $_______ per share. Sales should begin on the date of this Notice and shall continue until [DATE] [all shares are sold]. SCHEDULE 2 Placement Notice Parties Adam K. Peterson Boston Omaha Corporation 1601 Dodge Street, Suite 3300 Omaha, NE 68102 Email: adam@bostonomaha.com Phone: (857) 256-0079 Alex B. Rozek Boston Omaha Corporation 1601 Dodge Street, Suite 3300 Omaha, NE 68102 Email: alex@bostonomaha.com Phone: (857) 256-0079 SCHEDULE 3

Related to Securities Act Rules

  • 1940 Act Rules and Regulations means the rules and regulations of the Commission under the 1940 Act.

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

  • Exchange Act Regulations means the General Rules and Regulations under the Exchange Act.

  • SIFT Rules means the provisions of the Income Tax Act providing for a tax on certain income earned by a “SIFT trust” or “SIFT partnership” as those terms are defined in the Income Tax Act.

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

  • 1934 Act Regulations means the rules and regulations of the Commission under the 1934 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;

  • 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.

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

  • Securities Acts means the Securities Act of 1933 and the Securities Exchange Act of 1934.

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

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

  • Market Rules means the rules, regulations, customs and practices from time to time of any exchange, clearing house or other organization or market involved in the conclusion, execution or settlement of a Contract any exercise by any such exchange, clearing house or other organization or market of any power or authority conferred on it.

  • Exchange Act means the Securities Exchange Act of 1934, as amended.

  • Plan Asset Rules means the regulations issued by the United States Department of Labor at Section 2510.3-101 of Part 2510 of Chapter XXV, Title 29 of the United States Code of Federal Regulations, as modified by Section 3(42) of ERISA.

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.

  • Securities Exchange Act means the Securities Exchange Act of 1934, as amended.

  • Exchange Rules means the listing rules of The OTC Marketplace.

  • CySEC Rules means the Rules, Directives, Regulations, Guidance notes, opinions or recommendations of CySEC.

  • PPB Rules means the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq.

  • Foreign Private Issuer means an issuer that is a foreign private issuer within the meaning of Rule 405 under the 1934 Act;

  • Relevant Rules means, at any time, the laws, regulations, requirements, guidelines and policies relating to capital adequacy (including, without limitation, as to leverage) then in effect in the United Kingdom including, without limitation to the generality of the foregoing, as may be required by CRD IV or BRRD or any applicable successor legislation or any delegated or implementing acts (such as regulatory technical standards) adopted by the European Commission and applicable to the Issuer from time to time and any regulations, requirements, guidelines and policies relating to capital adequacy adopted by the Relevant Regulator from time to time (whether or not such requirements, guidelines or policies are applied generally or specifically to the Issuer or to the Issuer and any of its holding or subsidiary companies or any subsidiary of any such holding company).

  • 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.

  • NYSE Rules means the rules and regulations of the NYSE.

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • AIFM Regulation means Commission Delegated Regulation (EU) No. 231/2013.