New Zealand Legislation: Regulations
Regulations are laws made under Acts
(1) In this notice, unless the context otherwise requires,—
Act means the Securities Act 1978
convertible security means any option, share warrant, convertible note, preference share, or preference unit
registered holder means the person shown as the holder of the security in the register of securities kept by the issuer in accordance with section 51 of the Act
Regulations means the Securities Regulations 2009
share warrant means a warrant stating that the bearer of the warrant is entitled to the shares specified in the warrant, being shares for which no amount is payable to the issuer of the shares
specified securities market means a securities market operated by New Zealand Exchange Limited or by ASX Limited, a company incorporated in Australia.
(2) In this notice, a reference to an option, share warrant, convertible note, preference share, or preference unit includes a reference to a security that is in the nature of an option, share warrant, convertible note, preference share, or preference unit.
(3) Any term or expression that is defined in the Act or the Regulations and used, but not defined, in this notice has the same meaning as in the Act or the Regulations.
Clause 4(1) convertible security: inserted, on 29 May 2009, by clause 4 of the Securities Act (Rights, Options, and Convertible Securities) Exemption Amendment Notice 2009 (SR 2009/149).
Clause 4(1) NZSE: revoked, on 21 December 2007, by clause 4(1) of the Securities Act (Rights, Options, and Convertible Securities) Exemption Amendment Notice (No 2) 2007 (SR 2007/405).
Clause 4(1) Regulations: substituted, on 1 October 2009, by clause 4 of the Securities Act (Rights, Options, and Convertible Securities) Exemption Amendment Notice (No 2) 2009 (SR 2009/265).
Clause 4(1) specified securities market: added, on 21 December 2007, by clause 4(2) of the Securities Act (Rights, Options, and Convertible Securities) Exemption Amendment Notice (No 2) 2007 (SR 2007/405).