Sentences with phrase «sold under exemption»

Not exact matches

The notes to be offered have not been, and will not be, registered under the Securities Act of 1933 and may not be offered or sold in the United States absent registration or an applicable exemption from the registration requirements of the Securities Act of 1933.

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 securities laws.

The DOL finally released its proposed exemption permitting IMOs to become financial institutions and sell annuities under the fiduciary rule.

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 Debentures have not been and will not be registered under the U.S. Securities Act of 1933 (the «U.S. Securities Act»), and may not be offered or sold in the United States or to, or for the account or benefit of U.S. persons (as defined in Regulation S under the U.S. Securities Act), absent registration or an applicable exemption from registration requirements.

Fortunately, there are a number of exemptions under the Act which will allow these companies to sell their securities to investors without registration, the most popular of which involve «private placements.»

It would require each purchaser to have a substantive pre-existing relationship with an officer or certain shareholders of the issuer, permit no more than 35 purchasers under the exemption over the preceding 12 months, and would cap, at $ 500,000, the total aggregate amount of securities sold in the 12 - month period preceding the transaction.

Georgia's Board of Education has proposed up to 30 exemption days per school to allow fundraisers to sell food, including sweet treats, no longer allowed in schools under a federal law passed in 2010.

Now, Aston wants NHTSA to let them sell an estimated 670 of these cars, under an exemption for significant financial stress.

There are exemptions for homes that are under construction or were sold during the year, as well as condo units in buildings that prohibit renting.

For example, in Ontario, if a private MIE is looking to raise money from investors, they may be able to sell under a prospectus exemptionProspectus exemption An exemption that allows a company lawfully to sell securities without providing a prospectus.

If you sell any land separately from your home, the land is not exempt from capital gains tax under the main residence exemption.

You can sell your property and reinvest the money, in order to make money from the tax exemptions provided under the capital gain on sale of house property section 54.

MELA or FAME Student Loan Revenue Bonds described in an Official Statement may not be offered or sold in any jurisdiction in which such offer or sale would be unlawful prior to their registration, qualification or exemption under the securities laws of such jurisdiction.

Although these do not qualify for the exemption based on owning four or fewer breeding females and selling puppies born and raised on your premises, APHIS might find their sale exempt under other provisions of the AWA regulations.

Under the current proposal, these breeders would lose exemptions if they sell even one puppy that they did not personally breed and raise.

The information contained herein shall not constitute an offer to sell or a solicitation of an offer to buy, nor shall there be any sale of securities in any jurisdiction in which such offer, solicitation or sale would be illegal prior to their registration or receiving of an exemption from the registration or qualification under the securities laws of any such jurisdiction.

But anything covered under the Pennsylvania exemptions list may not be sold.

In order for vendors to sell fireworks to the general public, all they have to do is have buyers sign forms saying they are actually purchasing under an agricultural exemption.

Companies that qualify as private issuers under Ontario securities law should not be using or relying on these exemptions when they sell shares to investors located outside Canada.

First, under § 5 of the Securities Act, securities can not be offered or sold absent exemption or registration.

The letter, which is addressed to a company branch registered in London under the British Companies House, essentially demands that BitConnect stop selling its BCC assets in Texas «until the security is registered with the Securities Commissioner» or is granted the necessary exemptions to do so.

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 requirements.

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).

Any securities made will only be offered or sold directly or indirectly in the states or in the states in which they have been registered or have been offered under an appropriate exemption.