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.
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Securities Act Rules means the rules promulgated by the SEC under the Securities Act.
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Securities Act Rules means Rule 501(a)(1), (2), (3), and (7) of the Securities Act.
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Examples of Securities Act Rules in a sentence

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

  • 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.

  • To the Company’s knowledge, PricewaterhouseCoopers LLP, the accounting firm that audited the financial statements of the Company set forth in the Registration Statement and Prospectus, were and are independent registered accounting firms as required by the Securities Act and the Securities Act Rules and Regulations and the rules and regulations of the Public Company Accounting Oversight Board.

  • To the Company’s knowledge, PricewaterhouseCoopers LLP, the accounting firm that audited the financial statements of the Company set forth in the Registration Statement, the General Disclosure Package and Prospectus, is an independent registered accounting firm as required by the Securities Act and the Securities Act Rules and Regulations and the rules and regulations of the Public Company Accounting Oversight Board.

  • To make generally available to the Company’s security holders and to you, as soon as reasonably practicable, an earnings statement for the purposes of and to provide the benefits contemplated by Section 11(a) of the Securities Act and the Securities Act Rules and Regulations.

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

  • 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.

  • An FWP is a filing under Securities Act Rules 163/433 of Free Writing Prospectuses.Concurrent Equity Offering,” which explained the 2012 Offering and the results of the reverse stock split:In preparation for a potential listing, the Company will effectuate a reverse stock split and a stock dividend to existing shareholders.Rationale:• The rationale for the reverse stock split is to reduce the amount of shares outstanding and reset the price per share.

  • The Registration Statement, the Prospectus and each amendment or supplement thereto comply as to form in all material respects with the requirements of the Securities Act and the applicable Securities Act Rules and Regulations thereunder (except that such counsel need express no opinion as to the financial statements and related schedules therein).

  • Each Buyer 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.


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.
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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 Xxxxx Fargo, please so indicate in the space provided below for that purpose, whereupon this letter shall constitute a binding agreement between the Company and Xxxxx Fargo. Very truly yours, XXXXX FARGO SECURITIES, LLC By: /s/ Xxxxxxxxx Xxxxxxx Name: Xxxxxxxxx Xxxxxxx Title: Managing Director ACCEPTED as of the date first-above written: BOSTON OMAHA CORPORATION By: /s/ Xxxx X. Xxxxxxxx Name: Xxxx X. Xxxxxxxx Title: Co-Chief Executive Officer SCHEDULE 1 FORM OF PLACEMENT NOTICE From: [ ] Cc: [ ] To: [ ] Subject: Xxxxx 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 Xxxxx Fargo Securities, LLC (“Xxxxx Fargo”) dated [⦁], 2021, (the “Agreement”), I hereby request on behalf of the Company that Xxxxx 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 Xxxx X. Xxxxxxxx Boston Omaha Corporation 0000 Xxxxx Xxxxxx, Xxxxx 0000 Xxxxx, XX 00000 Email: xxxx@xxxxxxxxxxx.xxx Phone: (000) 000-0000 Xxxx X. Xxxxx Boston Omaha Corporation 0000 Xxxxx Xxxxxx, Xxxxx 0000 Xxxxx, XX 00000 Email: xxxx@xxxxxxxxxxx.xxx Phone: (000) 000-0000 SCHEDULE 3
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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 Tax Act, including those contained in sections 104, 122 and 122.1 of the Tax Act, which apply to the taxation of a “specified investment flow through trust” and its unitholders.

  • 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.

  • 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 a “foreign private issuer” within the meaning of Rule 405 of the Securities 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.

  • IESO Market Rules means the rules made under section 32 of the Electricity Act, 1998 (Ontario), together with all market manuals, policies and guidelines issued by the IESO.

  • Trust Account Rules means the rules relating to the establishment and operation of a trust account established and operated by the Distributor in accordance with clause 10.26;

  • 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.