Seller Status. Seller is an “accredited investor” as that term is defined in Rule 501(a) of Regulation D as promulgated by the SEC under the Securities Act. Seller is not a registered broker-dealer under Section 15 of the Exchange Act.
Appears in 3 contracts
Samples: Stock Purchase Agreement (GAIN Capital Holdings, Inc.), Stock Purchase Agreement (GAIN Capital Holdings, Inc.), Asset Purchase Agreement (GAIN Capital Holdings, Inc.)
Seller Status. Each Seller is an “accredited investor” as that term is defined in Rule 501(a) of Regulation D as promulgated by the SEC under the Securities Act. Neither Seller is not a registered broker-dealer under Section 15 of the Exchange Act.
Appears in 2 contracts
Samples: Membership Interest Purchase Agreement, Membership Interest Purchase Agreement (GAIN Capital Holdings, Inc.)
Seller Status. The Seller is an “"accredited investor” " as that term is defined in Rule 501(a) 501 under the Act and an affiliate of Regulation D the Company as defined in Rule 405 promulgated by the SEC under the Securities Act of 1933, as amended (the "Securities Act") and Rule 12b-2 promulgated under the Exchange Act. The Seller is not required to be registered as a registered broker-dealer under Section 15 of the Exchange Act.
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Seller Status. The Seller is an “accredited investor” ”, as that term is defined in Rule 501(a) of Regulation D as promulgated by the SEC under the Securities Act. Seller is not a registered broker-dealer under Section 15 of the Exchange Act.
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Seller Status. The Seller is either: (i) a “qualified institutional buyer” as defined in Rule 144A under the 1933 Act; or (ii) an “accredited investorSeller” as that term is defined in Rule 501(a501(a)(8) of Regulation D as promulgated by the SEC under the Securities Act. D. The Seller is not registered as a registered broker-broker or dealer under Section 15 15(a) of the Exchange Act.Act or a member of the National Association of Securities Dealers, Inc.
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Seller Status. Seller is an “accredited investor” as that term is defined in Rule 501(a) of Regulation D as promulgated by the SEC 501 under the Securities Act. Seller is not a registered broker-dealer under Section 15 of the Exchange Act.
Appears in 1 contract
Seller Status. The Seller is an “accredited investor” as that term is defined in within the meaning of SEC Rule 501(a) 501 of Regulation D D, as promulgated by the SEC under the Securities Act. Seller is not a registered broker-dealer under Section 15 of the Exchange Actamended (an “Accredited Investor”).
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