Sentences with phrase «register as a dealer»

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.

«The Temporary Order to Cease and Desist found that BitConnect was not registered as a dealer or salesman of securities in North Carolina and offered investments called the BitConnect Lending Program and the BitConnect Staking Program.

Despite the exemptive relief from dealer registration requirements provided by the securities regulators in these decisions, issuers should bear in mind that under applicable Canadian securities laws a person is only required to register as a dealer if they are engaging in or holding themselves out as engaging in the business of dealing in securities.

The car in question was first registered as a dealer demonstrator and has only had one owner since, who used it mainly in London — hence the remarkably low mileage of just 12,850.

The passport system, together with the Ontario interface, allows market participants to clear a prospectus, obtain a discretionary exemption, and register as a dealer or adviser by obtaining approval in their home jurisdiction and applying that decision across Canada.

Not exact matches

ImpactUs, which is registered not as a funding portal but as a broker dealer, launched in April featuring four issuers that had been vetted on behalf of potential investors.

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.

Even with the act's regulations in place, there will probably be lingering questions about whether crowdfunding sites are serving merely as information portals or as securities broker - dealers that must register with federal regulators.

In the case of self - proclaimed wealth experts, anyone who brings attention to an investment and is compensated for resulting referrals can be defined as a dealer who must now be registered.

Basically, under the Securities Exchange Act of 1934, any person who negotiates the sale of stock and receives a percentage of the transaction as payment must be a registered broker - dealer.

He estimates that private equity firms have made more than $ 2 billion dollars in transaction fees over the last 10 years without being properly registered as broker dealers.

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.

He contends that firms that collect transaction fees must be registered with the government as «broker - dealers,» much like Goldman Sachs» or JPMorgan Chase's securities divisions.

(11) Is not actively engaged in business as a registered representative of a broker - dealer.

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

(10) Is not actively engaged in business as a broker - dealer (registered or unregistered).

Guggenheim Securities, LLC is a broker dealer registered with the United States Securities and Exchange Commission and is acting as financial advisor to Pfizer and no one else in connection with the proposed transaction.

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

is registered as an investment fund manager in Ontario and Newfoundland and Labrador, and as a portfolio manager and exempt market dealer in Ontario, Alberta, British Columbia and Newfoundland and Labrador.

We are not registered as broker - dealers or investment advisors.

SVX is registered as a Restricted Dealer with the Ontario Securities Commission (OSC).

Silver Maple Ventures is registered as a securities Exempt Market Dealer in BC, Alberta and Ontario, and fully focused on developing its online Equity Crowdfunding business across Canada — subject to provincial securities legislation.

All four of these real estate crowdfunding platforms are registered as exempt market dealers either directly or through a third party (R2Crowd relies on the registration of Waverly Corporate Financial Services Ltd.).

Each platform plans to rely on all available prospectus exemptions that may be applicable in the jurisdictions where they are qualified as registered dealers.

As a registered broker / dealer, Financial Sense ® Securities, Inc. provides brokerage account services to clientele who share our value - based, contrarian perspective on the markets.

The other two new crowdfunding portals, Bay Street Cannabis (Ascenta Finance Corp.) and Klondike Strike (Red Cloud Klondike Strike Inc.), are also registered as exempt market dealers.

SVX is registered as an Exempt Market Dealer (EMD) in Ontario, Québec, British Columbia, Alberta, and Saskatchewan; however, no securities regulatory authority has approved or expressed an opinion about the securities offered on the platform.

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.

To determine whether a particular trading platform / binary options broker is registered with the SEC as a broker - dealer, visit the FINRA BrokerCheck website.

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.

Partly because Toyota and Honda dealers rushed to sell as many cars as possible last month in their bids for the title of best - selling car, the industry as a whole registered exceptionally strong sales.

Global Alternative Investment Services, Inc. is a registered broker - dealer that acts as placement agent for certain funds and provides wholesaling support services to GAI.

It shall be unlawful for any broker, dealer, or exchange, directly or indirectly, to make use of the mails or any means or instrumentality of interstate commerce for the purpose of using any facility of an exchange within or subject to the jurisdiction of the United States to effect any transaction in a security, or to report any such transaction, unless such exchange (1) is registered as a national securities exchange under section 6 of this title, or (2) is exempted from such registration upon application by the exchange because, in the opinion of the Commission, by reason of the limited volume of transactions effected on such exchange, it is not practicable and not necessary or appropriate in the public interest or for the protection of investors to require such registration

(«East West»), an entity that is registered with the applicable securities regulatory authorities or regulator as a Portfolio Manager, Exempt Market Dealer, Commodities Trading Manager, and Investment Fund Manager.

Services such as public finance advisory services, securities underwriting, and securities sales and trading are provided by PNC Capital Markets LLC, a registered broker - dealer and member of FINRA and SIPC.

It's unclear whether current popular cryptocurrency exchanges are willing to undergo the burden of registering as a broker - dealer and fulfilling the requirements of an ATS.

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.

East West Investment Management is registered with the applicable securities regulators as an Investment Fund Manager, Portfolio Manager, Commodity Trading Manager and Exempt Market Dealer in Ontario.

The son of a farm implement dealer, Gardner kept with family tradition and registered as a Democrat at age 18, but switched to the GOP soon after starting at Colorado State.

Generally, when a manufacturer sub-contracts a specialist tuner to fit - out a batch of vehicles that the manufacturer sends to that tuner and has the vehicles returned directly to the manufacturer, for sale through its dealer network, and those vehicles are not road registered, and therefore are still classified as new, those vehicles are sold with the full manufacturers warranty.

I am in a different state and both my attorney and another dealer said that as long as I was not financing the car, I would be paying sales tax when I register the car in my home state.

* Additional costs include accessories that you add, sales tax, tag and title fees for the state in which the vehicle will be registered, freight (as applicable) and a dealer processing fee applicable in the state in which the dealer is located ($ 299 Maryland; not required by law); ($ 141 Pennsylvania); ($ 699 Virginia and North Carolina).

At the 2015 Goodwood Festival of Speed the Lamborghini Aventador LP750 - 4 Superveloce made her UK debut, and Stephan Winkelmann, President and CEO of Automobili Lamborghini SpA confirmed the production of a Roadster version of the purest of Lamborghini... again in very limited numbers and dealers all over the world are already registering orders as we speak.

As a registered Ford dealer group, Evans Halshaw is committed to offering the latest and greatest new Ford cars offers, while delivering the outstanding service levels we are known for.

10 mo.) Date: Mileage: Source: Comments: 02/17/2008 NICBVehicle manufactured and shipped to Maryland02 / 27/2008 10 MileOne Automotive Group mileone.comVehicle serviced02 / 27/2008 MileOne Automotive Group mileone.comVehicle offered for sale03 / 11/2008 MileOne Automotive Group mileone.comVehicle sold03 / 11/2008 Maryland Motor Vehicle Dept. Columbia, MD Title # 39206937Registration issued or renewed Title or registration issued First owner reported Titled or registered as personal vehicle Loan or lien reported06 / 11/2008 3,941 MileOne Automotive Group mileone.comOil and filter changed01 / 28/2009 15,777 MileOne Automotive Group mileone.comElectrical system checked03 / 04/2009 17,790 MileOne Automotive Group mileone.comElectrical system checked08 / 08/2011 61,935 MileOne Automotive Group mileone.comVehicle serviced08 / 08/2011 Maryland Inspection Station Columbia, MDPassed emissions inspection03 / 14/2012 Maryland Motor Vehicle Dept. Columbia, MD Title # 39206937Registration issued or renewed Registration updated when owner moved the vehicle to a new location08 / 13/2013 Maryland Inspection Station Columbia, MDPassed emissions inspection03 / 26/2014 Maryland Motor Vehicle Dept. Columbia, MD Title # 39206937Registration issued or renewed11 / 13/2014 DAS Auto Care Columbia, MD Muffler replaced Oil and filter changed07 / 01/2015 134, 078 DAS Auto Care Columbia, MD Oil and filter changed08 / 05/2015 Maryland Inspection Station Columbia, MDPassed emissions inspection11 / 27/2015 141, 400 DAS Auto Care Columbia, MD Drive belt (s) replaced Oil and filter changed02 / 17/2016 Toyota Motor Sales, USA, Inc.Manufacturer Recall Issued NHTSA # 16V096 Recall #G0F Safety Recall G0F - Remedy Notice 2006 - 2012 Model Year RAV4 2012 - 2014 Model Year RAV4 EV Rear Outboard Seatbelts Status: Remedy Available Locate an authorized Toyota dealer near you to schedule an appointment + Learn more about this recall03 / 05/2016 Maryland Motor Vehicle Dept. Columbia, MD Title # 39206937Registration issued or renewed04 / 23/2016 DAS AUTO CARE Columbia, MD Fluids checked Oil and filter changed07 / 07/2016 DAS AUTO CARE Columbia, MD Crankshaft position sensor replaced Engine oil / fluid leak checked Engine / powertrain computer / module checked Fluids checked Oil and filter changed Water pump replaced09 / 17/2016 DAS AUTO CARE Columbia, MD Fluids checked Oil and filter changed

Electric Blue Metallic 2018 Hyundai Elantra GT FWD Automatic 2.0 L 4 - Cylinder 32/24 Highway / City MPG Net price includes; $ 500 Military Program (Customers or spouse must be Active Duty, Reservists / National Guard, Veteran, or on Retired status in the U.S. Military at the commencement of the program period, not all customers qualify, see dealer for details), $ 1,000 Uber Driver Coupon (must be a registered Uber driver and be able to provide a printout from the Driver Dashboard as proof of registration), $ 2,500 - Retail Bonus Cash.

Black Noir Pearl 2018 Hyundai Elantra GT FWD Manual 2.0 L 4 - Cylinder 31/23 Highway / City MPG Net price includes; $ 500 Military Program (Customers or spouse must be Active Duty, Reservists / National Guard, Veteran, or on Retired status in the U.S. Military at the commencement of the program period, not all customers qualify, see dealer for details), $ 1,000 Uber Driver Coupon (must be a registered Uber driver and be able to provide a printout from the Driver Dashboard as proof of registration), $ 2,500 - Retail Bonus Cash.

Warranty Expired Warranty Expired Glossary Detailed History Owner 1 Purchased: 2014 Type: Personal Where: Texas Est. miles / year: 16,695 / yr Est. length owned: 2/20/14 - 1/15/15 (10 months) Date: Mileage: Source: Comments: 01/22/2014 NICB Vehicle manufactured and shipped to original dealer 02/20/2014 15 Texas Motor Vehicle Dept. Weatherford, TX Title # Title issued or updated First owner reported Titled or registered as personal vehicle Loan or lien reported Vehicle color noted as Gray 01/15/2015 15,049 AutoNation Nissan Lewisville Lewisville, TX Vehicle offered for sale 01/19/2015 Texas Inspection Station Weatherford, TX Passed emissions inspection 01/20/2015 AutoNation Nissan Lewisville Lewisville, TX Pre-delivery inspection completed Safety inspection performed Washed / detailed Wiper (s) replaced Emissions inspection performed 01/31/2015 15,050 AutoNation Nissan Lewisville Lewisville, TX Vehicle serviced 02/06/2015 Texas Motor Vehicle Dept. Weatherford, TX Title # Title issued or updated Vehicle color noted as Gray Loan or lien released Owner 2 Purchased: 2015 Type: Personal Where: Texas Est. miles / year: 20,284 / yr Est. length owned: 4/21/15 - 10/17/16 (1 yr.

(B) «Credit repair services organization» does not include: (i) Any person authorized to make loans or extensions of credit under the laws of this state or the United States who is subject to regulation and supervision by this state or the United States; (ii) Any bank or savings and loan institution whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Savings Association Insurance Fund of the Federal Deposit Insurance Corporation; (iii) Any nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986; (iv) Any person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (v) Any person licensed to practice law in this state if the person renders services within the course and scope of his or her practice as an attorney; (vi) Any broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission if the broker - dealer is acting within the course and scope of those regulatory agencies; or (vii) Any consumer reporting agency as defined in the federal Fair Credit Reporting Act (15 U.S.C. 1681 - 1681t).

ECNs registered as broker / dealers include B - Trade, BRUT, Instinet, NexTrade, and Strike.