Rule 3a- definition

Rule 3a-. 7: Rule 3a-7 of the Investment Company Act, as then in effect (or any successor rule).
Sample 1Sample 2Sample 3
Rule 3a-. 5 means Rule 3a-5 under the Investment Company Act.
Sample 1

Examples of Rule 3a- in a sentence

  • If the Fund elects to rely upon Rule 462(b), the Fund shall file a Rule 462(b) Registration Statement with the Commission in compliance with Rule 462(b) by 10:00 P.M., Washington, D.C. time, on the date of this Agreement, and the Fund shall at the time of filing either pay to the Commission the filing fee for the Rule 462(b) Registration Statement or give irrevocable instructions for the payment of such fee pursuant to Rule 3a.

  • The Indenture Trustee in its individual or any other capacity may become the owner or pledgee of the Notes and may otherwise deal with the Issuer or its Affiliates with the same rights it would have if it were not the Indenture Trustee; provided, however, that the Indenture Trustee shall take no such action that shall cause it to no longer meet the requirements of Rule 3(a)- 7(a)(4)(i) under the Investment Company Act of 1940, as amended (the "Investment Company Act").

  • The Company agrees that it will use its best efforts to prevent the Company from becoming subject to Rule 419 under the Act prior to the consummation of any Business Combination, including, but not limited to, using its best efforts to prevent any of the Company's outstanding securities from being deemed to be a "penny stock" as defined in Rule 3a 00-0 under the Exchange Act during such period.

  • The Company agrees that it will use its best efforts to prevent the Company from becoming subject to Rule 419 under the Act prior to the consummation of any Business Combination, including but not limited to using its best efforts to prevent any of the Company’s outstanding securities from being deemed to be a “xxxxx stock” as defined in Rule 3a- 51-1 under the Exchange Act during such period.

  • Rule 3(a) of this schedule 2 does not apply at an adjourned meeting if the Commonwealth received notice of the prior meeting (which was adjourned) and did not attend that meeting.

  • The Indenture Trustee shall at all times meet the requirements of Rule 3(a)- 7(a)(4)(i) under the Investment Company Act and shall not provide credit or credit enhancement to the Issuer.

  • All the provisions in the rules of Part A shall be incorporated into this Part B as if fully set out herein and so as to be part of Part B and (for avoidance of doubt) Shares allocated under this Part B shall be taken into account for the purposes of Rule 3(a) of Part A.

  • The Directors may at any time terminate the Scheme and in such event no further invitations to apply for Options will be made pursuant to Rule 3(a) but the subsisting rights of Participants will not thereby be affected.

  • The Securities and Exchange Commission defines such a Company as ''a development stage company'' when it has no specific business plan or purpose, or has indicated that its business plan is to engage in a merger or acquisition with an unidentified company or companies, or other entity or person; and is issued 'penny stock,' as defined in Rule 3a 51-1 under the Securities Exchange Act of 1934.

  • The issuance of the Merger Consideration by Parent in accordance with this Agreement shall be exempt from registration with the Securities and Exchange Commission pursuant to Rule 3(a) (10) and no other filings, approvals, registrations, or qualifications are required under applicable federal or state securities or other laws for the consummation of the Merger in accordance with this Agreement.

Related to Rule 3a-

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

  • Rule 3a-7 means Rule 3a-7 under the Investment Company 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 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 497 refers to Rule 497(c) or 497(h) under the Act, as applicable.

  • Regulation S means Regulation S promulgated under the Securities Act.

  • Rule 501 means Rule 501(a)(1), (2), (3) or (7) under the Securities Act.

  • SEC Regulation D means Regulation D as promulgated under the Securities Act of 1933, as amended, as the same may be in effect from time to time.

  • Regulation T, U or X means Regulation T, U or X, respectively, of the Board of Governors of the Federal Reserve System as from time to time in effect and any successor to all or a portion thereof.

  • SRM Regulation means Regulation (EU) No 806/2014 of the European Parliament and Council of 15 July 2014 establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the framework of a Single Resolution Mechanism and a Single Resolution Fund and amending Regulation (EU) No 1093/2010, as amended or replaced from time to time.

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

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

  • Rule 701 means Rule 701 promulgated under the Securities Act.

  • AIFM Regulation means Commission Delegated Regulation (EU) No. 231/2013.

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

  • FRB Regulation D means Regulation D as promulgated by the Board of Governors of the Federal Reserve System, 12 CFR Part 204, as amended.

  • Regulations T, U and X means Regulations T, U and X of the Board of Governors of the Federal Reserve System (or any successor), as the same may be modified and supplemented and in effect from time to time.

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

  • Regulations T, U and X” means Regulations T, U and X, respectively, of the Federal Reserve Board, and any successor regulations.

  • Regulation CF means Regulation Crowdfunding promulgated under the Securities Act.

  • Regulation X means Regulation X of the Board as from time to time in effect and all official rulings and interpretations thereunder or thereof.

  • 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.

  • Regulation Zone means any of those one or more geographic areas, each consisting of a combination of one or more Control Zone(s) as designated by the Office of the Interconnection in the PJM Manuals, relevant to provision of, and requirements for, regulation service.