1933 Act Regulations definition

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

1933 Act Regulations means the rules and regulations of the Commission under the 1933 Act. “1934 Act” means the Securities Exchange Act of 1934, as amended.

1933 Act Regulations means the rules and regulations promulgated under the 1933 Act.

Examples of 1933 Act Regulations in a sentence

• The Company will comply with the 1933 Act and the 1933 Act Regulations, the 1934 Act and the 1934 Act Regulations so as to permit the completion of the distribution of the Securities as contemplated in this Agreement and in the Registration Statement, the General Disclosure Package and the Prospectus.

• Each of the Registration Statement and any post-effective amendment thereto, at the time of its effectiveness, each deemed effective date with respect to the Underwriters pursuant to Rule 430B(f)(2) under the 1933 Act Regulations, the Applicable Time, the Closing Time and any Date of Delivery complied and will comply in all material respects with the requirements of the 1933 Act and the 1933 Act Regulations.

• No historical or pro forma financial statements or supporting schedules are required to be included or incorporated by reference in the Registration Statement, the General Disclosure Package or the Prospectus under the 1933 Act or the 1933 Act Regulations.

• The accountants who certified the financial statements and supporting schedules included or incorporated by reference in the Registration Statement, the General Disclosure Package and the Prospectus are independent public accountants as required by the 1933 Act, the 1933 Act Regulations, the 1934 Act, the 1934 Act Regulations and the Public Company Accounting Oversight Board.

• The accountants who certified the audited consolidated financial statements of the Company included in the SEC Reports are independent public accountants as required by the 1933 Act, the 1933 Act Regulations (as defined below), the 1934 Act and the 1934 Act Regulations, and the Public Company Accounting Oversight Board.

More Definitions of 1933 Act Regulations

1933 Act Regulations has meaning set forth in the preamble to this Agreement.

1933 Act Regulations means the rules and regulations of the Commission under the 1933 Act; the term “Title 8” means Title 8 of the Corporations and Associations Article of the Annotated Code of Maryland; the term “IL Limited Partnership Act” means the Illinois Uniform Limited Partnership Act (2001); and the term “Applicable Laws” means (i) Title 8; and (ii) those laws of the State of Illinois and the State of New York and those federal laws of the United States of America which, in our experience, are normally applicable to transactions of the type contemplated by the Sales Agency Financing Agreements (provided that the term “Applicable Laws” shall not include federal or state securities or blue sky laws, including, without limitation, the 1933 Act, the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the Investment Company Act of 1940, as amended (the “1940 Act”), and the respective rules and regulations thereunder or any antifraud laws or regulations). As special counsel for the Company, we have examined and relied upon originals or copies, certified or otherwise identified to our satisfaction, of such agreements, instruments, certificates, records and other documents as we have deemed necessary or appropriate for the purpose of rendering the opinions set forth in this letter. In our examination, we have assumed the legal capacity of all natural persons, the genuineness of all signatures, the authenticity of all documents submitted to us as originals, the conformity to original documents of all documents submitted to us as certified or photostatic copies or by facsimile or other means of electronic transmission or which we obtained from the Commission’s Electronic Data Gathering, Analysis and Retrieval system (“XXXXX”) or other sites on the internet, and the authenticity of the originals of such latter documents. As to facts and other matters relevant to the opinions expressed herein and the other statements made herein, we have relied without independent investigation or verification upon, and assumed the accuracy and completeness of, (a) certificates, letters and oral and written statements and representations of public officials, officers and other representatives of the Company, accountants for the Company, and others, and (b) the representations and warranties in the Sales Agency Financing Agreements and the Registration Statement. Based on and subject to the foregoing and the other limitations, qualifications, exceptions and assumptions set forth h...

1933 Act Regulations has the meaning given to it in the fourth paragraph of this Agreement;

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.

1933 Act Regulations has the meaning ascribed thereto in the second paragraph of this agreement; and

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.All references in this Agreement to the Registration Statement, the Initial Registration Statement, any Rule 462(b) Registration Statement, any preliminary prospectus, the Prospectus, any Issuer Free Writing Prospectus or any amendment or supplement to any of the foregoing shall be deemed to include the version thereof filed with the Commission pursuant to EDGAR and all versions thereof delivered (physically or electronically) to Wainwright. All references in this Agreement to financial statements and schedules and other information which is “contained,” “included” or “stated” in the Registration Statement, Initial Registration Statement, any Rule 462(b) Registration Statement, any preliminary prospectus or the Prospectus (and all other references of like import) shall be deemed to mean and include all such financial statements and schedules and other information which are incorporated by reference in or otherwise deemed by 1933 Act Regulations to be a part of or included in the Registration Statement, the Initial Registration Statement, any Rule 462(b) Registration Statement, any preliminary prospectus or the Prospectus, as the case may be; and all references in this Agreement to amendments or supplements to the Initial Registration Statement, any preliminary prospectus or the Prospectus shall be deemed to mean and include the filing of any document under the 1934 Act which is incorporated by reference in or otherwise deemed by 1933 Act Regulations to be a part of or included in the Registration Statement, the Initial Registration Statement, any Rule 462(b) Registration Statement, such preliminary prospectus or the Prospectus, as the case may be.

1933 Act Regulations has meaning set forth in the preamble to this Agreement. “1934 Act” means the Securities Exchange Act of 1934, as amended.