Sentences with phrase «companies as the dealer»

Not exact matches

At issue for the startup was the fact that it allows unaccredited investors to lend money, which could have qualified the company as a securities dealer.

«Find out whether [the advisor is] in sales, via a broker dealer / insurance company, or will they act like a fiduciary, such as many affiliated with RIAs will be,» he said.

Indeed, about 90 % of the company's $ 5.3 million revenues (2012 figures) came from 120 different countries, but its primary customers are a handful of huge multinational printing equipment producers, like Cannon and Samsung, as well as some large distributors and dealers of printers in both the U.S. and Europe.

Companies including INTL FCStone Inc, Nomura Holdings Inc, Cargill Inc and Royal Dutch Shell Plc lobbied a congressional committee to change a rule proposed by the U.S. Commodities Futures Trading Commission on how much capital they must hold against derivatives trades as dealers.

Unless rules governing narrow situations like this one are clearly spelled out, it would be hard to determine whether a company was simply conveying information or giving investment advice, in which case it would have to register as a broker - dealer.

Dealers pay (with interest) a third - party finance company for units as they're sold.

As an authorized dealer for many top - of - the - line garage door companies and garage door openers with the latest Wi - Fi technology, we give you all the tools necessary to effectively and efficiently operate your business.

Within 24 hours, the company says, customers are referred to a dealership Canada Drives has identified as the best fit for their credit profile and are contacted by that dealer to discuss their options.

While recent changes to securities law permit companies to raise money from small investors through Kickstarter - style projects, the SEC noted the «DAO» project did not comply with formalities for doing so, such as registering as a broker - dealer or registering the website with regulators.

As a FINRA - registered broker - dealer, MicroVenture Marketplace Inc. has facilitated the sale of private stock in numerous companies.

We sell our units on a continuous basis at initial offering prices of $ 10.00 per Class A unit, $ 9.576 per Class C unit, and $ 9.186 per Class I unit; however, to the extent that our net asset value on the most recent valuation date increases above or decreases below our net proceeds per unit as stated in the Company's prospectus, our board of managers will adjust the offering prices of all classes of units to ensure that no unit is sold at a price, after deduction of selling commissions, dealer manager fees and organization and offering expenses, that is above or below our net asset value per unit as of such valuation date.

This discussion also does not consider any specific facts or circumstances that may be relevant to holders subject to special rules under the U.S. federal income tax laws, including, without limitation, certain former citizens or long - term residents of the United States, partnerships or other pass - through entities, real estate investment trusts, regulated investment companies, «controlled foreign corporations,» «passive foreign investment companies,» corporations that accumulate earnings to avoid U.S. federal income tax, banks, financial institutions, investment funds, insurance companies, brokers, dealers or traders in securities, commodities or currencies, tax - exempt organizations, tax - qualified retirement plans, persons subject to the alternative minimum tax, persons that own, or have owned, actually or constructively, more than 5 % of our common stock and persons holding our common stock as part of a hedging or conversion transaction or straddle, or a constructive sale, or other risk reduction strategy.

LOYAL3 Securities, Inc. is a U.S. - registered broker - dealer unaffiliated with our company and is acting as a co-manager of this offering.

In 1996, believing that his brokerage clients deserved a wider range of investment opportunities as well as better trade execution and service, Jim founded Financial Sense ® Securities, Inc. (FSS), member FINRA / SIPC, an independent broker / dealer offering full brokerage services through our clearing firm National Financial Services LLC., a Fidelity Investments Company.

As part of an investor protection measure in the JOBS Act, companies using crowdfunding will still be required to raise the money through regulated broker - dealers, such as CircleUp, or through crowdfunding portals, a new regulatory category at the SEAs part of an investor protection measure in the JOBS Act, companies using crowdfunding will still be required to raise the money through regulated broker - dealers, such as CircleUp, or through crowdfunding portals, a new regulatory category at the SEas CircleUp, or through crowdfunding portals, a new regulatory category at the SEC.

Once they have been registered as a dealer they plan on utlizing the accredited investor exemption to bring tech company investment opportunities to the public.

Optimize Capital Markets (P2P Financial Inc.), as an exempt market dealer, has sixty - three (63) companies currently listed on its OCMX institutional marketplace.

During his tenure as Chief of OMI, Mr. Martinez oversaw efforts to remove dormant shell companies from the market, support an enforcement sweep of violations of Regulation M Rule 105, and identify broker - dealers not in compliance with their Bank Secrecy Act obligations.

It does not discuss all aspects of U.S. federal income taxation that may be relevant to particular holders in light of their particular circumstances or to holders subject to special rules under the Code (including, but not limited to, insurance companies, tax - exempt organizations, financial institutions, broker - dealers, partners in partnerships (or entities or arrangements treated as partnerships for U.S. federal income tax purposes) that hold HP Co. common stock, pass - through entities (or investors therein), traders in securities who elect to apply a mark - to - market method of accounting, stockholders who hold HP Co. common stock as part of a «hedge,» «straddle,» «conversion,» «synthetic security,» «integrated investment» or «constructive sale transaction,» individuals who receive HP Co. or Hewlett Packard Enterprise common stock upon the exercise of employee stock options or otherwise as compensation, holders who are liable for the alternative minimum tax or any holders who actually or constructively own 5 % or more of HP Co. common stock).

Blake counsels asset managers and broker - dealers on all aspects of the development and distribution of alternative investment products, including registered investment companies, business development companies, and other permanent or long - term capital structures, as well as hedge funds and private equity funds.

Let's have a clear understanding: the majority of equity crowdfunding (or crowdinvesting) platforms that have recently flooded the market, are registered broker - dealers companies (or have to work through registered broker dealers) and fundamentally is an alternative form of online investment banking for start - ups and early stage companies where as of now not a crowd — but only accredited investors are entitled to invest, just like in the good old days.

So far, so good: the surveys diffusion index rose to a nine month high last week as retailers, auto dealers, truckers and credit card companies all had solid moves higher.

The Company's SaaS and DaaS solutions include eCommerce - enabled websites, which provide a Web presence for dealers and serve as a platform for driving leads and eCommerce sales; eCatalogs, which drive sales of inventory and PG&A both online and within the dealership; and lead management software designed to increase sales for dealers through management and closure of leads.»

Edward Jones Trust Company and Edward Jones are subsidiaries of the Jones Financial Companies, L.L.L.P. Edward Jones Trust Company may use Edward Jones or other affiliates to act as a broker - dealer for transactions or for other services.

Today, FTC Investor Services Inc. is a subsidiary of Fiduciary Trust Company of Canada and is registered as a mutual fund dealer authorized to sell Franklin Templeton Investments mutual funds.

Under the Trust Agreement, Shareholders are limited to (1) participants in DTC such as banks, brokers, dealers and trust companies («DTC Participants»), (2) those who maintain, either directly or indirectly, a custodial relationship with a DTC Participant («Indirect Participants»), and (3) those banks, brokers, dealers, trust companies and others who hold interests in the Shares through DTC Participants or Indirect Participants.

As the big got bigger and consolidated their power, the remaining dealers, many small to mid-sized companies, scrambled to form new buying group alliances that would solidify their positions.

This alliance will undoubtedly contribute to the changing face of the dealer community as Vestar's investment will fund Edward Don & Company's «future growth with a primary focus on geographic expansion and acquisitions.»

The company swept the beverage blender category in 2013, being named Best in Class overall, as well as Best in Class by dealers, operators and consultants.

The company dominated the beverage blender category in 2015, being named Best in Class Overall as well as Best in Class by dealers, operators and consultants.

The company was recognized in 2016 as Best in Class Overall as well as Best in Class by dealers, operators and consultants.

Big repeat donors are construction and building companies, law firms, hospitals and doctors, car dealers and local companies such as Anheuser - Busch, which has a plant in Baldwinsville.

The company says it has done so «as an absolute last resort», and only after appeals from community groups who want to drive drug dealers from their street corners.

His company collects tires from Montana, Idaho, Washington, Oregon, and Wyoming, making most of its money by charging dealers for transporting the tires and for disposal — a per - tire assessment known as a tipping fee.

In this free shareware game, Gazillionaire, you become «an intergalactic wheeler - dealer rocketing among the 7 planets of Kukubia as the head of your own trading company.»

Car dealers in Virginia and across the country have been fighting Tesla, seeing the company's direct - to - consumer sales model as a threat to the franchise system that they say protects consumers as well as their own business interests.

Australians have been able to buy Tesla cars online for several months, but the California - based company is to operate its own sales and service operations as opposed to the traditional dealer model in which third parties sell cars rather than the manufacturers.

Former auto dealer Michael Baker now is part of PathGeo, a start - up company associated with San Diego State University, where faculty and students developed analytics that monitor social - media activity such as Twitter messages.

InventoryPro, which serves as a replacement for DealerWire, allows dealers to stock more of the models that sell faster, the company says, while ridding inventories of less - profitable vehicles.

The new Saturn would be set up as a stand - alone company that could include other investors, but would not include dealers.

The online automotive lead company only will consider dealer requests for credits under specific guidelines in cases of a car buyer going to a dealership first, then later using TrueCar pricing information as part of negotiating a deal.

Likely more insight to gained as the public company moves along and their actions affect dealers.

When the earliest 1965 Ford Mustangs — or the ’64 and 1/2 cars, as they're sometimes called — hit dealer showrooms in early April 1964, they did more than provide an immediate boost to Ford sales and Ford Motor Company's bottom line.

Saab GB - which is an separate company - issued a statement saying that it will continue to operate as normal and has «sufficient funding in place to meet all creditor obligations, and will continue to pay all employees, dealers and suppliers as normal.»

The Ford Parts online purchasing website («this website» or"FordParts.com») is brought to you by Ford Motor Company («FORD») together with the Ford or Lincoln Mercury Dealership that you select as your preferred dealer («dealer»).

Here are just a few reasons why customers have chosen Vernon Auto Group: Transparent Deals Upfront Pricing, No Haggling, No Numbers Game Financing Rates as low as 2.9 % ** WAC, See Dealer for Details ** Fast Friendly Service and Delivery Technology driven company with low overhead and a market driven systematic approach to pricin...

Come experience why we were voted Oklahoma Dealer of the Year by DealerRater.com for the last three years and are the recipient of Ford Motor Company's prestigious President's Award for the last three years as well.

Another notable award for Motor Werks Companies for 2011 was the Daily Herald Reader's Choice pick as «Best Import Dealer».

Come experience why we were voted Oklahoma Dealer of the Year by DealerRater.com for the last two years and are the recipient of Ford Motor Company's prestigious President's Award for the last two years as well.

Trying to jolt dealers as they prepare to sell what Nissan calls the most important car in its history, the company has put a $ 12,999 price tag on its new Altima sedan.