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.

  • On becoming a Dealer, and in offering and selling Units, Dealer agrees to comply with all the applicable requirements under the Securities Act of 1933, and the Securities Exchange Act of 1934, including, without limitation, the provisions of Rule 10b-6 and Rule 10b-7 and Rule 15c2-4 of the Securities and Exchange Commission.

  • 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 of the Commission applicable to the offering of the Securities.

  • Capitalized terms used in this paragraph and not defined in this Agreement shall have the meanings assigned to such terms in Rule 10b-6 of the Commission.