Sentences with phrase «distribution under the securities law»
the company has materially complied with the disclosure requirements applicable to the distribution under the securities law of the foreign country, or the distribution is exempt from such requirements; and
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In Latin America, for Institutional Investors and Financial Intermediaries Only (Not for public distribution): This material is for educational purposes only and does not constitute an offer or solicitation to sell or a solicitation of an offer to buy any shares of any fund (nor shall any such shares be offered or sold to any person) in any jurisdiction in which an offer, solicitation, purchase or sale would be unlawful under the securities law of that jurisdiction.
Our business and regulatory attorneys counsel life insurance clients on a variety of transactions, business arrangements, insurance products, and distribution matters under federal and state securities laws, FINRA regulations, and state insurance laws.