Securities Rules means Rule 501(a)(1), (2), (3), and (7) of Regulation D under the Securities Act.

Securities Rules means Rules 501(a)(1), (2), (3), and (7) promulgated under the Securities Act.

Examples of Securities Rules in a sentence

Provident Funds constituted by companies registered under the Companies Ordinance, 1984, subject to conditions and investment limits as laid down in Employees Provident Fund (Investment in Listed Securities) Rules, 1996, as amended from time to time, including by SROs.
Under Section 39(3) of the Companies Act, 2013 read with Rule 11(2) of the Companies (Prospectus and Allotment of Securities) Rules, 2014 if the stated minimum subscription amount is not received within the specified period, the application money received is to be credited only to the bank account from which the subscription was remitted.
By way of brief background, the Client Securities Rules prescribe how client assets are to be dealt with by all intermediaries and their associated entities.
If there is a delay beyond the prescribed time after the Issuer becomes liable to pay or unblock the amount received from Bidders, then the Issuer and every director of the Issuer who is an officer in default may on and from expiry of prescribed time period under applicable laws, be jointly and severally liable to repay the money, with interest at the rate of 15% per annum in accordance with the Companies (Prospectus and Allotment of Securities) Rules, 2014, as amended.
This prospectus is intended for distribution only to persons of a type specified in the Offered Securities Rules of the DFSA.

More Definitions of Securities Rules

Securities Rules means the Securities Rules, B.C. Reg. 479/95, as amended from time to time;

Securities Rules means Rules 501(a)(1), (2), (3), and (7) promulgated under the Securities Act. (www) “Solicitation Materials” means all solicitation materials in respect of the Plan.

Securities Rules has the meaning set forth in Section 5(a).

Securities Rules means B.C. Reg. 194/97, as amended. .

Securities Rules means the rules of the Commission made under the Act; “security holder” means a person or company who owns shares of a CEDC; and “specified issue” has the same meaning as in the Equity Tax Credit Act.

Securities Rules means all statutes, laws, ordinances, rules, regulations, restrictions, instruments, codes, regulatory policy or guidelines applicable to the Corporation as a reporting issuer under the Securities Act (Ontario), as amended from time to time;