SEC Rule 405 definition

SEC Rule 405 means Rule 405 promulgated by the SEC under the Securities Act.
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SEC Rule 405 means Rule 405 promulgated by the SEC under the Securities Act and any successor provision. 1.16 “Selling Expenses” means all underwriting discounts, selling commissions, stock transfer taxes or similar fees or arrangement applicable to the sale of Registrable Securities, and fees and disbursements of counsel for the Investor. 2.
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SEC Rule 405 means Rule 405 promulgated under the Securities Act.
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Examples of SEC Rule 405 in a sentence

  • The Company is not a party to any agreement or transaction with any of its officers, directors, greater than 5% shareholders or any Affiliate (as defined in SEC Rule 405) of any of said persons that would require disclosure under Item 404 of Regulation S-K that will not be disclosed in the next amendment to the Form 10-SB.

  • The Owner understands ‘affiliate’ to mean an entity that controls, is controlled by, or is under common control with the Owner within the meaning of SEC Rule 405, 17 C.F.R. § 230.405, and exists to make a profit.

  • As used in this Section the Bank understands ‘affiliate’ to mean an entity that controls, is controlled by, or is under common control with the Bank within the meaning of SEC Rule 405, 17 C.F.R. § 230.405, and exists to make a profit.

  • As used in such verifications, “affiliate” means an entity that controls, is controlled by, or is under common control with the Developer within the meaning of SEC Rule 405, 17 C.F.R. § 230.405, and exists to make a profit.

  • The Issuer is not a “shell company” pursuant to SEC Rule 405 of the Securities Act of 1933.

  • The Verifying Party understands “affiliate” to mean any entity that controls, is controlled by, or is under common control with the Verifying Party within the meaning of SEC Rule 405, 17.

  • As used in such verifications, “affiliate” means an entity that controls, is controlled by, or is under common control with the Bank within the meaning of SEC Rule 405, 17 C.F.R. § 230.405, and exists to make a profit.

  • EVALUATION OF OBJECTIVE 4-F: Public and private improvements near Times Square are discussed beginning on page 23.

  • As used in such verifications, "affiliate" means an entity that controls, is controlled by, or is under common control with the Trustee within the meaning of SEC Rule 405, 17 C.F.R. § 230.405, and exists to make a profit.

  • As used in such verifications, “affiliate” means an entity that controls, is controlled by, or is under common control with the Owner within the meaning of SEC Rule 405, 17 C.F.R. § 230.405, and exists to make a profit.

Related to SEC Rule 405

  • 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.

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

  • 1934 Exchange Act means the Securities Exchange Act of 1934 of the United States, as amended, and the rules and regulations thereunder as now in effect or as the same may from time to time be amended, re-enacted or replaced;

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

  • Exchange Act means the Securities Exchange Act of 1934, as amended.

  • Commodity Exchange Act means the Commodity Exchange Act (7 U.S.C. § 1 et seq.), as amended from time to time, and any successor statute.

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

  • Securities Exchange Act means the Securities Exchange Act of 1934, as amended.

  • 1934 Act means the Securities Exchange Act of 1934, as amended.

  • Rule 430A Information means information with respect to the Securities and the offering thereof permitted to be omitted from the Registration Statement when it becomes effective pursuant to Rule 430A.