Federal Securities Act definition
Examples of Federal Securities Act in a sentence
The Trust will pay or reimburse U.S. Boston Capital for all expenses of qualifying shares of the Trust for sale under the securities or so-called “Blue Sky” laws of any state and of registering shares under the Federal Securities Act of 1933 and Investment Company Act of 1940.
I agree that I will not sell or otherwise transfer these securities unless they are registered under the Federal Securities Act of 1933, or unless an exemption from such registration is available.
The Company shall take such reasonable efforts as may be necessary to cause any shares to be issued in connection with such option awards to be registered under the Federal Securities Act of 1933, as amended, or under applicable state securities laws, or to secure an appropriate exemption from such registration.
It has been advised no registration statement relating to interests in the Company or otherwise has been or shall be filed with the United States Securities and Exchange Commission under the Federal Securities Act of 1933, as amended, or the securities laws of any state.
The Company shall take such reasonable efforts as may be necessary to cause any shares to be issued in connection with this option to be registered under the Federal Securities Act of 1933, as amended, or under applicable state securities laws, or to secure an appropriate exemption from such registration.
Further, it is understood that such Common Stock, the Series A Preferred Stock and the Junior Note have not been registered under the Federal Securities Act of 1933, as amended (the "1933 Act"), or under the State Securities Laws, in reliance upon exemption from registration contained in those acts.
Each certificate representing Preferred Shares and each of the Warrants shall be endorsed with the following legend: The securities evidenced hereby may not be transferred without (i) the opinion of counsel satisfactory to the Company that such transfer may be lawfully made without registration under the Federal Securities Act of 1933 and all applicable state securities laws or (ii) such registration.
Each Pledgor agrees that if any part of the Collateral is sold at any public or private sale, the Collateral Agent may elect to sell only to a buyer who will give further assurances, satisfactory in form and substance to the Collateral Agent, respecting compliance with the requirements of the Federal Securities Act of 1933, as amended, and applicable state securities laws, and a sale subject to such condition shall be deemed commercially reasonable.
Each certificate representing shares of the Company Common Stock issued to Stockholders hereunder shall, to the extent applicable, include a legend in substantially the following form: These securities have not been registered under the Federal Securities Act of 1933, as amended (the “Securities Act”), or the securities laws of any state, and are issued and sold in reliance upon certain exemptive provisions of such acts.
The Sellers’ are acquiring the shares of the Purchaser’s common stock, or warrants to acquire common stock, for the Sellers’ own account, for investment and not with a view to, or for resale in connection with, a distribution or public offering thereof within the meaning of the Federal Securities Act or applicable state securities laws.