The Funds are not
registered under the securities laws of the U.S., U.K. or any other jurisdiction outside of Canada.
The Funds are not
registered under the securities laws of the U.S., U.K. or any other jurisdiction outside of Canada.
If such securities are required to be
registered under the securities laws of one or more jurisdictions before being sold, a fund may be required to bear the expenses of registration.
Not exact matches
The Notes will not be
registered under the
Securities Act of 1933, as amended (the «Securities Act «-RRB-, or any state securities laws, and may not be offered or sold in the United States absent registration or an applicable exemption from, or a transaction not subject to, the registration requirements of the Securities Act and applicable state securi
Securities Act of 1933, as amended (the «
Securities Act «-RRB-, or any state securities laws, and may not be offered or sold in the United States absent registration or an applicable exemption from, or a transaction not subject to, the registration requirements of the Securities Act and applicable state securi
Securities Act «-RRB-, or any state
securities laws, and may not be offered or sold in the United States absent registration or an applicable exemption from, or a transaction not subject to, the registration requirements of the Securities Act and applicable state securi
securities laws, and may not be offered or sold in the United States absent registration or an applicable exemption from, or a transaction not subject to, the registration requirements of the
Securities Act and applicable state securi
Securities Act and applicable state
securitiessecurities laws.
Under the federal
securities laws, any offer or sale of a
security must either be
registered with the SEC or meet an exemption.
Under the federal
securities laws, a company that offers or sells its
securities must
register the
securities with the SEC or find an exemption from the registration requirements.
The Notes have not been
registered under the
Securities Act of 1933, as amended, or any state secur
Securities Act of 1933, as amended, or any state
securitiessecurities law.
Under the federal
law Regulation D in the
Securities Act of 1933, certain companies are exempt from registering the sale of securities, which are typically forms of stocks or bonds, and in the case of PeerStreet, real es
Securities Act of 1933, certain companies are exempt from
registering the sale of
securities, which are typically forms of stocks or bonds, and in the case of PeerStreet, real es
securities, which are typically forms of stocks or bonds, and in the case of PeerStreet, real estate debt.
(1) engage in the «Geographic Area» (as defined below) as an employee, agent, consultant, advisor, independent contractor, proprietor, partner, officer, director, or otherwise of a Competing Business (as defined below); (2) have any ownership interest (except for passive ownership of one percent (1 %) or less in any entity whose
securities have been registered under the Securities Act of 1933 or Section 12 of the Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing
securities have been
registered under the
Securities Act of 1933 or Section 12 of the Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing
Securities Act of 1933 or Section 12 of the
Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing
Securities Exchange Act of 1934 or the
securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing
securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing Business.
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.
In the USA, the federal
securities laws do not allow any company to offer or even sell securities unless they are registered with SEC (Securities and Exchange Commission) or there is an exception under which they don't have to follow with this reg
securities laws do not allow any company to offer or even sell
securities unless they are registered with SEC (Securities and Exchange Commission) or there is an exception under which they don't have to follow with this reg
securities unless they are
registered with SEC (
Securities and Exchange Commission) or there is an exception under which they don't have to follow with this reg
Securities and Exchange Commission) or there is an exception
under which they don't have to follow with this registration.
The
securities offered in the private placement have not been registered under the Securities Act, or any state secur
securities offered in the private placement have not been
registered under the
Securities Act, or any state secur
Securities Act, or any state
securitiessecurities law.
(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).
(1) The following shall be exempt from the Credit Services Organization Act: (a) A 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 or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program
under the National Housing Act, 12 U.S.C. 1701 et seq.; (b) A bank or savings and loan association whose deposit or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or a subsidiary of such a bank or savings and loan association; (c) A credit union doing business in this state; (d) A nonprofit organization exempt from taxation
under section 501 (c)(3) of the Internal Revenue Code; (e) A person licensed as a real estate broker or salesperson
under the Nebraska Real Estate License Act acting within the course and scope of that license; (f) A person licensed to practice
law in this state acting within the course and scope of the person's practice as an attorney; (g) A broker - dealer
registered with the
Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (h) A consumer reporting agency; (i) A person whose primary business is making loans secured by liens on real property; (j) A person, firm, corporation, or association licensed as a collection agency in this state or a person holding a solicitor's certificate in this state acting within the course and scope of that license or certificate; and (k) A person licensed to engage in the business of debt management pursuant to sections 69 - 1201 to 69 - 1217.
(b) engaged as an «investment advisor» as that term is defined in Section 201 (11) of the Investment Advisor's Act of 1940 (whether or not
registered or qualified
under that Act), nor (c) employed by a bank or other organization exempt from registration
under Federal and / or state
securities laws to perform functions that would require him or her to be so
registered or qualified if he or she were to perform such functions for an organization not so exempt.
You agree to promptly notify ChoiceTrade in writing if you are now or if you become: (a)
registered or qualified with the
Securities Exchange Commission, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (b) engaged as a «registered investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not
Securities Exchange Commission, the Commodities Futures Trading Commission, any state
securities agency, any securities exchange or association, or any commodities or futures contract market or association; (b) engaged as a «registered investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not
securities agency, any
securities exchange or association, or any commodities or futures contract market or association; (b) engaged as a «registered investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not
securities exchange or association, or any commodities or futures contract market or association; (b) engaged as a «
registered investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not
registered or qualified
under that act); or (c) employed by a bank or other organization exempt from registration
under federal and / or state
securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not
securities laws to perform functions that would require you to be so
registered or qualified if you were to perform such functions for an organization not so exempt.
«Credit Services Organization» does not include any of the following: (i) a 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, or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program
under the National Housing Act (12 U.S.C. Section 1701 et seq.); (ii) a bank or savings and loan association whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Federal Savings and Loan Insurance Corporation, or a subsidiary of such a bank or savings and loan association; (iii) a credit union doing business in this State; (iv) a nonprofit organization exempt from taxation
under Section 501 (c)(3) of the Internal Revenue Code of 1986, [FN1] provided that such organization does not charge or receive any money or other valuable consideration prior to or upon the execution of a contract or other agreement between the buyer and the nonprofit organization; (v) a person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (vi) a person licensed to practice
law in this State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer
registered with the
Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed
under the Illinois Residential Mortgage License Act of 1987.
The Funds, which are not sold by prospectus, are not mutual funds and are exempt from registration and regulation
under the Investment Company Act of 1940 («1940 Act»), and their units are not
registered under the
Securities Act of 1933, or applicable securities laws of any state or other jur
Securities Act of 1933, or applicable
securities laws of any state or other jur
securities laws of any state or other jurisdiction.
Under the federal
law Regulation D in the
Securities Act of 1933, certain companies are exempt from registering the sale of securities, which are typically forms of stocks or bonds, and in the case of PeerStreet, real es
Securities Act of 1933, certain companies are exempt from
registering the sale of
securities, which are typically forms of stocks or bonds, and in the case of PeerStreet, real es
securities, which are typically forms of stocks or bonds, and in the case of PeerStreet, real estate debt.
In any jurisdiction where the
securities, blue sky or other
laws require the Offer to be made by a licensed broker or dealer, the Offer shall be deemed to be made on behalf of Purchaser by one or more
registered brokers or dealers licensed
under the
laws of such jurisdiction.
Under the terms of the Advisory Agreement, each Fund is responsible for the payment of the following expenses among others: (a) the fees payable to the Adviser, (b) the fees and expenses of Trustees who are not affiliated persons of the Adviser or Distributor (as defined under the section entitled («The Distributor»)(c) the fees and certain expenses of the Custodian (as defined under the section entitled «Custodian») and Transfer and Dividend Disbursing Agent (as defined under the section entitled «Transfer Agent»), including the cost of maintaining certain required records of the Fund and of pricing the Fund's shares, (d) the charges and expenses of legal counsel and independent accountants for the Fund, (e) brokerage commissions and any issue or transfer taxes chargeable to the Fund in connection with its securities transactions, (f) all taxes and corporate fees payable by the Fund to governmental agencies, (g) the fees of any trade association of which the Fund may be a member, (h) the cost of fidelity and liability insurance, (i) the fees and expenses involved in registering and maintaining registration of the Fund and of shares with the SEC, qualifying its shares under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not direc
Under the terms of the Advisory Agreement, each Fund is responsible for the payment of the following expenses among others: (a) the fees payable to the Adviser, (b) the fees and expenses of Trustees who are not affiliated persons of the Adviser or Distributor (as defined
under the section entitled («The Distributor»)(c) the fees and certain expenses of the Custodian (as defined under the section entitled «Custodian») and Transfer and Dividend Disbursing Agent (as defined under the section entitled «Transfer Agent»), including the cost of maintaining certain required records of the Fund and of pricing the Fund's shares, (d) the charges and expenses of legal counsel and independent accountants for the Fund, (e) brokerage commissions and any issue or transfer taxes chargeable to the Fund in connection with its securities transactions, (f) all taxes and corporate fees payable by the Fund to governmental agencies, (g) the fees of any trade association of which the Fund may be a member, (h) the cost of fidelity and liability insurance, (i) the fees and expenses involved in registering and maintaining registration of the Fund and of shares with the SEC, qualifying its shares under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not direc
under the section entitled («The Distributor»)(c) the fees and certain expenses of the Custodian (as defined
under the section entitled «Custodian») and Transfer and Dividend Disbursing Agent (as defined under the section entitled «Transfer Agent»), including the cost of maintaining certain required records of the Fund and of pricing the Fund's shares, (d) the charges and expenses of legal counsel and independent accountants for the Fund, (e) brokerage commissions and any issue or transfer taxes chargeable to the Fund in connection with its securities transactions, (f) all taxes and corporate fees payable by the Fund to governmental agencies, (g) the fees of any trade association of which the Fund may be a member, (h) the cost of fidelity and liability insurance, (i) the fees and expenses involved in registering and maintaining registration of the Fund and of shares with the SEC, qualifying its shares under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not direc
under the section entitled «Custodian») and Transfer and Dividend Disbursing Agent (as defined
under the section entitled «Transfer Agent»), including the cost of maintaining certain required records of the Fund and of pricing the Fund's shares, (d) the charges and expenses of legal counsel and independent accountants for the Fund, (e) brokerage commissions and any issue or transfer taxes chargeable to the Fund in connection with its securities transactions, (f) all taxes and corporate fees payable by the Fund to governmental agencies, (g) the fees of any trade association of which the Fund may be a member, (h) the cost of fidelity and liability insurance, (i) the fees and expenses involved in registering and maintaining registration of the Fund and of shares with the SEC, qualifying its shares under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not direc
under the section entitled «Transfer Agent»), including the cost of maintaining certain required records of the Fund and of pricing the Fund's shares, (d) the charges and expenses of legal counsel and independent accountants for the Fund, (e) brokerage commissions and any issue or transfer taxes chargeable to the Fund in connection with its
securities transactions, (f) all taxes and corporate fees payable by the Fund to governmental agencies, (g) the fees of any trade association of which the Fund may be a member, (h) the cost of fidelity and liability insurance, (i) the fees and expenses involved in
registering and maintaining registration of the Fund and of shares with the SEC, qualifying its shares
under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not direc
under state
securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not directors,
Insurance companies issue both products, and anyone who sells them must be
registered under state insurance
laws and state and federal
securities laws.
The Distributor is
registered as a broker - dealer
under the
Securities Exchange Act of 1934 and each state's securities laws and is a member of
Securities Exchange Act of 1934 and each state's
securities laws and is a member of
securities laws and is a member of the FINRA.
Specifically, concerns are raised that the «white papers» often used to provide some disclosure regarding ICOs should comply with Canadian
securities law requirements, that those engaged in soliciting and facilitating these trades need to be properly
registered as gatekeepers and that the online exchanges that facilitate secondary trading in cryptocurrencies need to be formally recognized as a «marketplace»
under Canadian
securities laws.
Evaluating the
Securities Market Impact Of Supreme Court Decisions (
Under Review)
Daniel Martin Katz & Michael Bommarito, Regulatory Dynamics Revealed by the Securities Filings of Registered Companies (Paper In Progress) < Slides > Daniel Martin Katz, Michael Bommarito & Josh Blackman, Experts, Crowds & Algorithms: The Three Forms of Legal Prediction (Paper In Progress) Daniel Martin Katz & Michael Bommarito, Fin (Legal) Tech: Law's Future From Finance's Past (Project In Progress)
We advise
registered representatives and companies on FINRA conduct rules, including broker check disputes and Form U4 / U5 issues; defend companies and individuals in FINRA regulatory investigations and enforcement proceedings; represent companies and individuals in industry and customer disputes in the FINRA forum; and litigate cases arising
under federal and state
securities laws.
KODAKCoin's status as a
security likely will preclude the token from being tradable on unregulated cryptocurrency exchanges that are subject to U.S.
securities laws — likely affecting the token's liquidity — and KODAKCoins would be resalable by purchasers only either in a
registered securities offering or a transaction exempt from
securities registration (such as
under the Rule 144 safe harbor for sales by non-affiliates after a holding period is met).
The
securities have not been and will not be registered under the United States Securities Act of 1933, as amended (the «1933 Act»), or any state securities laws and may not be offered or sold within the United States or to, or for the account or benefit of U.S. persons (as defined in Regulation S under the 1933 Act) absent such registration or an applicable exemption from such registration req
securities have not been and will not be
registered under the United States
Securities Act of 1933, as amended (the «1933 Act»), or any state securities laws and may not be offered or sold within the United States or to, or for the account or benefit of U.S. persons (as defined in Regulation S under the 1933 Act) absent such registration or an applicable exemption from such registration req
Securities Act of 1933, as amended (the «1933 Act»), or any state
securities laws and may not be offered or sold within the United States or to, or for the account or benefit of U.S. persons (as defined in Regulation S under the 1933 Act) absent such registration or an applicable exemption from such registration req
securities laws and may not be offered or sold within the United States or to, or for the account or benefit of U.S. persons (as defined in Regulation S
under the 1933 Act) absent such registration or an applicable exemption from such registration requirements.
If there is a mechanism by which assets «that meet the definition of a «
security»
under the federal
securities laws» can be traded, then «the platform must
register with the SEC as a national
securities exchange» provided it is not otherwise exempt from registration.
Wyoming has been the most aggressive in passing blockchain - friendly legislation, passing five
laws: declaring that «utility tokens» would not be regulated
under state
securities laws, exempting cryptocurrencies from property taxes, adjusting its money transmitter regulation to accommodate cryptocurrency exchanges, allowing LLCs to
register on a blockchain, and enabling the secretary of state to
register companies on a blockchain.
Nor did it suggest that either company give up its exemption for
registering under federal
securities laws.