Effectiveness of the Registration Statement; Filing of Prospectus Supplement Clause Samples

The 'Effectiveness of the Registration Statement; Filing of Prospectus Supplement' clause establishes when a registration statement becomes legally effective and outlines the requirement to file a prospectus supplement with the relevant regulatory authority. In practice, this clause ensures that the issuer cannot proceed with offering or selling securities until the registration statement is declared effective by the SEC, and that any material updates or additional information are promptly disclosed through a prospectus supplement. Its core function is to ensure compliance with securities regulations, providing transparency and legal certainty for both the issuer and investors.
Effectiveness of the Registration Statement; Filing of Prospectus Supplement. The Registration Statement shall have been declared effective by the Commission and the Prospectus, and any supplement thereto, required by Rule 424 to be filed with the Commission shall have been filed in the manner and within the time period required by Rule 424(b) with respect to any sale of Shares; each Prospectus Supplement shall have been filed in the manner required by Rule 424(b) within the time period required hereunder and under the Act; any other material required to be filed by the Company pursuant to Rule 433(d) under the Act, shall have been filed with the Commission within the applicable time periods prescribed for such filings by Rule 433; and no stop order suspending the effectiveness of the Registration Statement or any notice objecting to its use shall have been issued and no proceedings for that purpose shall have been instituted or threatened.
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Effectiveness of the Registration Statement; Filing of Prospectus Supplement. The Registration Statement shall have been declared effective by the Commission and the Prospectus, and any Prospectus Supplement thereto required by Rule 424 to be filed with the Commission within the time period required by Rule 424(b) shall have been filed with respect to any sale of Shares; any other material required to be filed by the Company pursuant to Rule 433(d) under the Act, shall have been filed with the Commission within the applicable time periods prescribed for such filings by Rule 433; and no stop order suspending the effectiveness of the Registration Statement or any notice objecting to its use shall have been issued and no proceedings for that purpose shall have been instituted or threatened.
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Related to Effectiveness of the Registration Statement; Filing of Prospectus Supplement

  • Filing of Prospectus Supplement If any sales are made pursuant to this Agreement which are not made in “at the market” offerings as defined in Rule 415, including, without limitation, any Placement pursuant to a Terms Agreement, the Company shall file a Prospectus Supplement describing the terms of such transaction, the amount of Shares sold, the price thereof, the Manager’s compensation, and such other information as may be required pursuant to Rule 424 and Rule 430B, as applicable, within the time required by Rule 424.