Rule 10b-6 definition

Rule 10b-6 means Rule 10b-6 promulgated by the Commission under the Exchange Act, as such Rule may be amended from time to time, or any similar successor rule that may be promulgated by the Commission.
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Rule 10b-6. Rule 10b-6 promulgated under the Exchange Act as shall be in effect at the time and any successor provision under the Exchange Act.
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Examples of Rule 10b-6 in a sentence

  • We represent and agree in connection with the offering of Securities we have complied and will comply with the provisions of Rule 10b-6 under the 1934 Act with regard to trading in the Securities.

  • If the Securities are common stock or securities convertible into common stock, we agree not to effect, or attempt to induce others to effect, directly or indirectly, any transactions in or relating to put or call options on any stock of such issuer, except to the extent permitted by Rule 10b-6 under the Exchange Act as interpreted by the Securities and Exchange Commission.

  • An opening uncovered writing transaction in options to acquire Securities for our account or for the account of any customer shall be deemed, for purposes of the preceding sentence, to be a transaction effected by us in or relating to put or call options on stock of the Company not permitted by Rule 10b-6.

  • You represent that you have not participated in any transaction prohibited by the preceding sentence and that you have at all times complied with the provisions of Rule 10b-6 of the 1934 Act applicable to this offering.

  • We represent that we have complied with Rule 10b-6 in connection with the offering.

  • We represent that we have not participated in any transaction prohibited by the preceding paragraph and that we have at all times complied with the provisions of Rule 10b-6 and Rule 10b-6A under the 1934 Act applicable to this offering.

  • State any exceptions here: By signing below, the Selling Securityholder acknowledges that it understands its obligation to comply, and agrees that it will comply, with the provisions of the Securities Exchange Act of 1934, as amended (the "Exchange Act") and the rules and regulations thereunder, particularly Rule 10b-6.

  • Rule 10b-6 generally prohibits the Company or any of its “affiliated purchasers” from buying Company securities in the open market during certain periods while a public offering is taking place.

  • Shares of Common Stock purchased on the open market shall be purchased by the Agent in compliance with Rule 10b-6 and Rule 10b-18 under the Exchange Act to the extent compliance shall be required.

  • Your attention is directed to Rule 10b-6 of the General Rules and Regulations under the 1934 Act, which contains certain prohibitions against trading by a person interested in a distribution until such person has completed its participation in such distribution.

Related to Rule 10b-6

  • Rule 159A “Rule 405” and “Rule 415” mean, in each case, such rule promulgated under the Securities Act (or any successor provision), as the same shall be amended from time to time.

  • Rule 173 “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 15c2-12 means Rule 15c2-12 under the Securities Exchange Act of 1934, as amended through the date of this Undertaking, including any official interpretations thereof.

  • Rule 17f-7 means Rule 17f-7 promulgated under the 1940 Act.

  • Rule 17f-5 means Rule 17f-5 promulgated under the 1940 Act.

  • Rule 163 “Rule 164”, “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 164 “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 144 means Rule 144 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule.

  • SEC Rule 144 means Rule 144 promulgated by the SEC under the Securities Act.

  • SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.

  • Rule 497 refers to Rule 497(c) or 497(h) under the Act, as applicable.

  • Regulation M means Regulation M under the Exchange Act.

  • Rule 144A means Rule 144A promulgated under the Securities Act.

  • Rule 158 “Rule 163”, “Rule 164”, “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 17g-5 Rule 17g-5 under the Exchange Act.

  • Rule 405 and “Rule 415” mean, in each case, such rule promulgated under the Securities Act (or any successor provision), as the same shall be amended from time to time.

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

  • SEC Rule 145 means Rule 145 promulgated by the SEC under the Securities Act.

  • Rule 3a-5 means Rule 3a-5 under the Investment Company Act.

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

  • Rule 145 means Rule 145 as promulgated by the Commission under the Securities Act, as such Rule may be amended from time to time, or any similar successor rule that may be promulgated by the Commission.

  • Rule 172 “Rule 173”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 3a-7 means Rule 3a-7 under the Investment Company Act.

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

  • 1933 Securities Act means the Securities Act of 1933 of the United States, as amended, and the rules and regulations made thereunder, as now in effect or as the same may from time to time be amended, re-enacted or replaced.

  • Rule 144(k) means Rule 144(k) as promulgated under the Securities Act, or any successor rule.