Sentences with phrase «issues under these exemptions»

For any future distributions of shares or securities, it will need to rely on another prospectus exemption, such as the accredited investor exemption, $ 150,000 exemption or the offering memorandum exemption, and it will need to file reports with the OSC and pay the applicable fees in respect of the shares or securities it issues under these exemptions.

Not exact matches

In its recently published rulemaking agenda, the SEC set a target date of October 2015 to adopt final rules regarding the offer and sale of securities through crowdfunding and small and additional issues exemptions under Regulation A +.

Specifically, the exemption requires that the advisor, the institution issuing the product and client enter into a contract that clearly commits the advisor to acting in the client's best interests, using the care, skill and prudence that would be exercised by prudent person under the circumstances (the definition that generally governs a fiduciary's duties in other contexts).

DOL notes that like the FAQs issued on Oct. 27 on the Prohibited Transaction Exemptions, the FAQ for advisors focuses particularly on specific technical questions raised by financial service providers, and it is limited to investment advice concerning plans covered under the Employee Retirement Income Security Act, IRAs and other plans covered by Section 4975 (e)(1) of the Internal Revenue Code.

This exemption provides that any issue of securities offered only to investors residing within one state, where the issuer is a resident of the same state, is exempt from registration under the federal securities laws.

Fixed indexed annuities have historically been regulated by the states under prohibited transaction exemption (PTE) 8424, but the DOL's final rule, issued in April, included them under the BICE — which «shocked» both NAFA and Market Synergy, according to Sweeney.

When the Utah Compromise was passed two years ago, Moore and Ethics and Religious Liberty Commission colleague Andrew Walker called the effort to ensure fair treatment of LGBT individuals «well - intentioned,» but took issue with the «arbitrary threshold» for which entities gained religious exemption under the policy.

The section 18 emergency exemption for Hero ® issued April 11, 2016 has been amended per EPA's request to change the ending of the bee hazard statement under the «Other Requirements» section.

Any employer, employment agency, labor organization, or joint labor - management committee which believes that the application to it of any regulation or order issued under this section would result in undue hardship may (1) apply to the Commission for an exemption from the application of such regulation or order, or (2) bring a civil action in the United States district court for the district where such records are kept.

The warrants were issued pursuant to an exemption under Rule 506 and / or Section 4 (2) of the Securities Act of 1933.

Under guidelines adopted by the Trust's Board, a Fund's Adviser may determine that particular Rule 144A securities, and commercial paper issued in reliance on the private placement exemption from registration afforded by Section 4 (a)(2) of the Securities Act, are liquid even though they are not registered.

Underwrite securities issued by other persons, except to the extent permitted under the 1940 Act, the rules or regulations thereunder or any exemption therefrom, as such statute, rules or regulations may be amended or interpreted from time to time.

Much water has passed under the bridge since the California Coastal Sanctuary was created 23 years ago, and, as intended, NO NEW LEASES have been issued in State waters; additionally, one of the exemptions to the Sanctuary has become essentially moot now that the Ellwood leases have been quitclaimed to the State.

Annually a MIC that issues its shares through a prospectus and registration exemption under securities law and regulations (e.g. not publicly traded companies), will be responsible for providing their investors...

It follows that the issue then becomes whether the exemptions under the Court Rules Act can be interpreted so that they are consistent with the common law right of access to civil justice, which is preserved, as the Attorney General submits, by the Court Rules Act.

On January 13, 2012 the Minister of Citizenship, Immigration and Multiculturalism issued the public policy considerations that in his opinion justify the granting of a one - time exemption from the TRP processing fee that is required under the Immigration and Refugee Protection Regulations (IRPR) for foreign nationals who meet the conditions of this public policy.

As of March 1, 2012, the public policy exemption would apply to an foreign national to whom a TRP is being issued at a port of entry (POE) or a visa office abroad, who is inadmissible solely on the grounds of «criminality» under section 36 (2) of IRPA, and who:

We also counsel clients on complex employee benefit plan issues, including an entity's fiduciary status under ERISA and on obtaining advisory opinions and prohibited transaction exemptions from the Department of Labor.

He recently filed an amicus brief and appeared before the U.S. Supreme Court on the issue of whether the outside salesperson exemption under the Fair Labor Standards Act of 1938 applies to pharmaceutical representatives.

The tZERO SAFT is being issued in a private placement offering solely to accredited investors pursuant to one or more exemptions from the registration requirements of the Securities Act of 1933, as amended (the «Securities Act»), including in compliance with Rule 506 (c) of Regulation D, as promulgated under the Securities Act.

The form is known as Form 8332, Release of Claim to Exemption for Child of Divorced or Separated Parents and a copy of the form can be found on our Helpful Links page under the heading Tax Issues & IRS Publications: Federal on our website.

These exemptions include rules set forth under Regulation D, permitting an issuer to sell securities to «accredited investors,» and Rule 144A, which exempts securities issued to qualified institutional buyers (QIBs).