Rule 173 definition

Rule 173. “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.
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Rule 173. “Rule 401”, “Rule 405”, “Rule 424”, “Rule 430A”, “Rule 430B”, “Rule 433”, “Rule 436”, “Rule 456”, and “Rule 457” refer to such rules under the Securities Act.
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Rule 173. “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act. “Sales Notice” shall have the meaning ascribed to such term in Section 2(b)(i). “SEC Reports” shall have the meaning ascribed to such term in Section 3(m). “Settlement Date” shall have the meaning ascribed to such term in Section 2(b)(vii). “Subsidiary” shall have the meaning ascribed to such term in Section 3(a). “Terms Agreement” shall have the meaning ascribed to such term in Section 2(a). “Time of Delivery” shall have the meaning ascribed to such term in Section 2(c). “Trading Day” means a day on which the Trading Market is open for trading. “Trading Market” means the Nasdaq Capital Market.
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Examples of Rule 173 in a sentence

  • The Company will furnish to each Underwriter, without charge, during the period when the Prospectus is required to be delivered under the 1933 Act or the 1934 Act (or would be required to be delivered upon request by a purchaser pursuant to Rule 173 under the 1933 Act), such number of copies of the Prospectus (as amended or supplemented) as such Underwriter may reasonably request.

  • You represent and warrant that you are familiar with Rule 173 under the Securities Act relating to electronic delivery.

  • The Company will furnish to each Underwriter, without charge, during the period when the Prospectus is required to be delivered under the 1933 Act or the 1934 Act (or would be required to be delivered upon request by a purchaser pursuant to Rule 173 under the 1933 Act), such number of copies of the Prospectus (as amended or supplemented) as such Underwriter may reasonably request in writing (which may be by email).

  • The Authorized Participant represents and warrants to the Sponsor that it will deliver the then current Prospectus upon any sale by it of iShares (other than a redemption) or, if applicable, a notice consistent with Rule 173 under the 1933 Act in lieu of a Prospectus, to the extent so required by applicable law.

  • In addition, no Underwriter shall enter into any Contract of Sale with respect to the Certificates with any institutional investor unless (i) such Underwriter has delivered to such investor a copy of the final Prospectus or (ii) the prospectus delivery exemptions of Rule 172 under the Act are met and the Underwriter complies with the notice requirements of Rule 173 under the Act.

  • The term “Prospectus” means the Base Prospectus and the final prospectus supplement that amends or supplements the Base Prospectus in the form first used (or made available upon request of purchasers pursuant to Rule 173 under the Securities Act) in connection with confirmation of sales of the Notes.

  • Each confirmation of sale with respect to the Underwritten Certificates delivered by the Underwriter shall, if such confirmation of sale is not preceded or accompanied by delivery of the Final Prospectus, include a legend to the following effect, or a similar legend, in compliance with Rule 173 under the Securities Act: Rule 173 notice: This security was sold pursuant to an effective registration statement that is on file with the SEC.

  • Upon the exercise of any Warrant, if the Company requests, the Warrant Agent shall deliver to the Holder of such Warrant, prior to or concurrently with the delivery of the shares of Common Stock issued upon such exercise, in accordance with the Company’s request, either (i) a prospectus relating to the shares of Common Stock deliverable upon exercise of Warrants and complying in all material respects with the Act or (ii) the notice referred to in Rule 173 under the Act.

  • For each offer to purchase a Program Security solicited by any Agent and accepted by or on behalf of the Company, such Agent or a broker-dealer that has executed a selected dealer agreement with such Agent will provide a confirmation to the purchaser, setting forth the details described above and delivery and payment instructions, as well as the notice of allocation information required by Rule 173 under the Securities Act within 2 days after the terms of the Program Securities become final.

  • During any period when the delivery of a prospectus relating to the Shares is required (including in circumstances where such requirement may be satisfied pursuant to Rule 172, Rule 173 or any similar rule) to be delivered under the Act, the Company will file all documents required to be filed with the Commission pursuant to the Exchange Act within the time periods required by the Exchange Act and the regulations thereunder.


More Definitions of Rule 173

Rule 173. Rule 405", and "Rule 433" refer to such rules under the Securities Act.
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Rule 173 and “Rule 433” refer to such rules under the Act.
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Rule 173. “Rule 405”, “Rule 415”,
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Rule 173. “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act. “Rule 462(b) Registration Statement” means any registration statement prepared by the Company registering additional Shares, which was filed with the Commission on or prior to the date hereof and became automatically effective pursuant to Rule 462(b) promulgated by the Commission pursuant to the Securities Act.
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Rule 173. “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act. “Sales Notice” shall have the meaning ascribed to such term in Section 2(b)(i).
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Rule 173. “Rule 405”, “Rule 430B” and “Rule 433” refer to such rules under the Securities Act. “Sales Notice” shall have the meaning ascribed to such term in Section 3(b)(i). “SEC Reports” shall have the meaning ascribed to such term in Section 4(n). “Securities Act” shall mean the United States Securities Act of 1933, as amended, and the rules and regulations of the Commission promulgated thereunder. “SEDAR” means System for Electronic Document Analysis and Retrieval. “Settlement Date” shall have the meaning ascribed to such term in Section 3(b)(ix). “Shares” shall have the meaning ascribed to such term in Section 3. “Shelf Procedures” shall have the meaning ascribed to such term in Section 2. “Shelf Securities” shall have the meaning ascribed to such term in Section 2. “Subsidiary” shall have the meaning ascribed to such term in Section 4(a). “Taxes” shall have the meaning ascribed to such term in Section 4(dd). “Terms Agreement” shall have the meaning ascribed to such term in Section 3(a). “Time of Delivery” shall have the meaning ascribed to such term in Section 3(c). “Trading Day” means a day on which the Trading Market is open for trading. “Trading Market” means The Nasdaq Capital Market securities exchange. “TSX” means the Toronto Stock Exchange. “U.S. Company Counsel” shall have the meaning ascribed to such term in Section 5(m).
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Related to Rule 173

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

  • Rule 172 “Rule 173”, “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 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 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.

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

  • Rule 144A means Rule 144A promulgated 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 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 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.