OTC issuer definition

OTC issuer means an issuer
Sample 1Sample 2Sample 3
OTC issuer means an issuer that has
Sample 1Sample 2

Examples of OTC issuer in a sentence

  • An OTC issuer may only issue securities for services to any of its directors, officers, or consultants if the conditions in this section are met and there is an available exemption from the prospectus requirements.

  • A primary indicator of risk is the deposit of shares of OTC issuers by insiders, control persons, founders and persons who conduct or cause to be conducted investor relations activities relating to the OTC issuer (closely-related persons).

  • A typical scenario involves unscrupulous promoters who, through deceptive means, gain control of an OTC issuer, then promote it by making misleading disclosure.

  • This is the form required under paragraph 4(1)(d) of Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets for an OTC issuer to give notice that it has ceased to be an OTC reporting issuer under section 3 of the Instrument in a jurisdiction other than Québec.

  • If a dealer has already made inquiries of a client under conditions 4 and 5 about the client’s ownership of securities of a particular OTC issuer and the client’s relationship to it, the dealer is not required to make those inquiries again in the absence of indications that the circumstances have changed.

  • Conditions 4 and 5 require dealers to identify the beneficial owner of securities of an OTC issuer a client seeks to sell through a BC office, and to determine that person’s relationship with the issuer.

  • On occasion, a client of a dealer that has filed an undertaking with the Commission may wish to make an isolated trade in securities of an OTC issuer through a BC office.

  • In part, this means that dealers must be able to form a reasonable belief that they know the true identity of each beneficial owner of the OTC issuer securities.

  • The conditions require affected dealers to report commissions earned by the dealer from trading OTC issuer securities through a BC office.

  • Condition 3(d) requires dealers to record the number of deposits of OTC issuer securities they refuse under condition 9.

Related to OTC issuer

  • SEC issuer means an issuer that

  • L/C Issuer means Bank of America in its capacity as issuer of Letters of Credit hereunder, or any successor issuer of Letters of Credit hereunder.

  • OTCQB means the OTCQB Market.

  • OTC Markets means either OTC QX or OTC QB of the OTC Markets Group, Inc.

  • Pink OTC Markets means the OTC Markets Group Inc. electronic inter-dealer quotation system, including OTCQX, OTCQB and OTC Pink.

  • NIM Issuer The entity established as the issuer of the NIM Securities.

  • OTCBB means the Over-The-Counter Bulletin Board.

  • OTC Bulletin Board means the over-the-counter electronic bulletin board.

  • OTC means Over-the-Counter.

  • OTCQX means the OTCQX tier of the OTC Markets Group Inc.

  • L/C Issuers means (i) Bank of America, (ii) any other Lender in its capacity as issuer of Letters of Credit hereunder who has been selected by GFI and who has agreed to be an L/C Issuer hereunder in accordance with the terms hereof and (iii) any successor issuer of Letters of Credit hereunder appointed in accordance with the terms hereof, and “L/C Issuer” means any one of them.

  • Co-Issuer means the Person named as the “Co-Issuer” in the first paragraph of this Indenture, until a successor Person shall have become such pursuant to the applicable provisions of this Indenture, and thereafter “Co-Issuer” shall mean such successor Person.

  • Co-Issuers The Issuer and the Co-Issuer.

  • Issuing Agent means Pareto Securities AB, or another party replacing it, as Issuing Agent, in accordance with these Terms and Conditions.

  • OTC Market means any over-the-counter market or over-the-telephone market in any country in any part of the world, and in relation to any particular Authorised Investment shall be deemed to include any responsible firm, corporation or association in any country in any part of the world dealing in the Authorised Investment which the Manager may from time to time elect.

  • U.S. Issuing Bank means an Issuing Bank that has agreed to issue U.S. Letters of Credit.

  • LC Issuer means Bank of America in its capacity as issuer of Letters of Credit hereunder, or any successor issuer of Letters of Credit hereunder.

  • Issuing agency means an organization responsible for assigning a globally unique identifier to an enterprise, as indicated in the Register of Issuing Agency Codes for ISO/IEC 15459, located at http://www.aimglobal.org/?Reg_Authority15459.

  • Financial Markets means international financial markets in which currency and other financial assets exchange rates are determined in multi-party trade.

  • OTC derivative or ‘OTC derivative contract’ means a derivative contract the execution of which does not take place on a regulated market as within the meaning of Article 4(1)(14) of Directive 2004/39/EC or on a third-country market considered as equivalent to a regulated market in accordance with Article 19(6) of Directive 2004/39/EC;

  • Marketing Agent means MACRO Financial, LLC, in its capacity as marketing agent hereunder, and its successors and assigns.

  • Dissemination Agent means the Issuer or any Dissemination Agent designated in writing by the Issuer and which has filed with the Issuer a written acceptance of such designation.

  • Agent’s Group has the meaning specified in Section 8.02(b).

  • Stock Market means a securities market operated by a securities exchange;

  • Capital Markets Debt means any debt securities or debt financing issued pursuant to an indenture, notes purchase agreement or similar financing arrangement (but excluding any credit agreement) whether offered pursuant to a registration statement under the Securities Act or under an exemption from the registration requirements of the Securities Act.

  • securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.