Nonissuer definition

Nonissuer means not directly or indirectly for the benefit of the issuer.
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Nonissuer means not directly or indirectly for the benefit of
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Nonissuer means secondary trading not involving the issuer of the securities or any person in a control relationship with the issuer;
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Examples of Nonissuer in a sentence

  • A record filed under this chapter or its predecessor chapter within five years preceding the filing of a registration statement may be incorporated by reference in the registration statement to the extent that the record is currently accurate.5. Nonissuer distribution.

  • Nonissuer transaction" or "nonissuer distribution" means a transaction or distribution not directly or indirectly for the benefit of the issuer.[PL 2005, c.

  • Nonissuer" means not directly or indirectly for the benefit of the issuer.

  • Nonissuer transaction" or "nonissuer distribution" means a transaction or distribution not directly or indirectly for the benefit of the issuer.[ 2005, c.

  • Nonissuer transaction by sales representative licensed in State: Security included or designated for inclusion in Nasdaq [SmallCap] Capital Market.

  • Nonissuer refers to any entity other than an issuer under Federal securities laws, such as privately held companies, not-for-profit entities, and government entities.7 Because GAGAS incorporate the field work and reporting standards of the AICPA for financial auditsperformed in which U.S. auditing standards are to be followed, auditors are not required to cite compliance with the AICPA standards when citing compliance with GAGAS, although both sets of standards may be cited.

  • Marc Levin Follow this and additional works at: https://digitalcommons.lmu.edu/llr Part of the Law Commons Recommended Citation Marc Levin, California Corporate Securities Law of 1968: The Issue of the Nonissuer, 2 Loy.

  • Nonissuer firms also exhibit an increase in total risk, although the effect is less pronounced in terms of median changes.

  • This estimate may overstate the actual number of small health insurance issuers that may 97 Non-issuer TPAs based on data derived from the 2016 Benefit Year reinsurance program contributions.

  • Such communications need not be in writing, but oral communications should be documented.8. Summary chart: Communication of Deficiencies in Internal Control (Audit: Nonissuer) B.


More Definitions of Nonissuer

Nonissuer means not directly or indirectly for the bene- fit of the issuer.
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Nonissuer means not directly or indirectly for the benefit of the issuer. A sale of securities shall be considered to be indirectly for the benefit of the issuer if all of the following conditions are met:
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Nonissuer means not directly or indirectly for the benefit of the issuer. (11.5) "Online intermediary" means a person:
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Nonissuer means not directly or indirectly for the benefit of the issuer. (11.5) “On-line intermediary” means a person:
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Nonissuer means not directly or indirectly forthe benefit of the issuer;
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Related to Nonissuer

  • Liability means the obligation to pay a judgment, settlement, penalty, fine (including an excise tax assessed with respect to an employee benefit plan), or reasonable expenses incurred with respect to a proceeding.

  • Issuer as used in this Note includes any successor or the Issuer under the Indenture. The Issuer is permitted by the Indenture, under certain circumstances, to merge or consolidate, subject to the rights of the Indenture Trustee and the holders of Notes under the Indenture. The Notes are issuable only in registered form in denominations as provided in the Indenture, subject to certain limitations therein set forth. This Note and the Indenture shall be construed in accordance with the laws of the State of New York, without reference to its conflict of law provisions and the obligations, rights and remedies of the parties hereunder and thereunder shall be determined in accordance with such laws. No reference herein to the Indenture and no provision of this Note or of the Indenture shall alter or impair, the obligation of the Issuer, which is absolute and unconditional, to pay the principal of and interest on this Note at the times, place and rate, and in the coin or currency herein prescribed. Anything herein to the contrary notwithstanding, except as expressly provided in the Basic Documents, none of Wilmington Trust Company in its individual capacity, JPMorgan Chase Bank, in its individual capacity, any owner of a beneficial interest in the Issuer, or any of their respective partners, beneficiaries, agents, officers, directors, employees or successors or assigns shall be personally liable for, nor shall recourse be had to any of them for, the payment of principal of or interest on this Note or performance of, or omission to perform, any of the covenants, obligations or indemnifications contained in the Indenture. The holder of this Note by its acceptance hereof agrees that, except as expressly provided in the Basic Documents, in the case of an Event of Default under the Indenture, the holder shall have no claim against any of the foregoing for any deficiency, loss or claim therefrom; provided, however, that nothing contained herein shall be taken to prevent recourse to, and enforcement against, the assets of the Issuer for any and all liabilities, obligations and undertakings contained in the Indenture or in this Note.

  • Issuers the collective reference to each issuer of any Investment Property.

  • Bail-in Power means any statutory cancellation, write-down and/or conversion power existing from time to time under any laws, regulations, rules or requirements relating to the resolution of banks, banking group companies, credit institutions and/or investment firms, including but not limited to any such laws, regulations, rules or requirements that are implemented, adopted or enacted within the context of a European Union directive or regulation of the European Parliament and of the Council establishing a framework for the recovery and resolution of credit institutions and investment firms, or any other applicable laws or regulations, as amended, or otherwise, pursuant to which obligations of a bank, banking group company, credit institution or investment firm or any of its affiliates can be reduced, cancelled and/or converted into shares or other securities or obligations of the obligor or any other person.