Private Securities Transaction definition

Private Securities Transaction means any securities transaction relating to new offerings of securities which are not registered with the Securities and Exchange Commission, provided however that transactions subject to the notification requirements of Rule 3050 of the Financial Industry Regulatory Authority’s (FINRA) Conduct Rules, transactions among immediate family members (as defined in the interpretation of the FINRA Board of Governors on free-riding and withholding) for which no associated person receives any selling compensation, and personal securities transactions in investment company and variable annuity securities shall be excluded.

Private Securities Transaction means any securities transaction relating to offerings of securities which are not publicly traded. Employees may not purchase or acquire any privately-issued securities, other than in exceptional cases where such investment is part of a family-owned and operated business venture that would not be expected to involve an investment opportunity of interest to any Invesco client.

Private Securities Transaction means the selling by a “registered representative” of “securities" or other investment products which are not on the approved product list of, or which are not otherwise authorized or approved for sale by, the "registered representative's" "broker”-“dealer".

Examples of Private Securities Transaction in a sentence

• Covered Persons may not engage in a Private Securities Transaction without first (a) giving Compliance a detailed written notification describing the transaction and indicating whether or not they will receive compensation and (b) obtaining prior written permission from Compliance.

• Investment Personnel who have been approved to acquire securities of an issuer in a Private Securities Transaction must disclose that investment to Compliance and the Chief Investment Officer of the Investment Personnel’s business unit when they are involved in a Client’s subsequent consideration of an investment in the same issuer.

• Covered Persons may not engage in a Private Securities Transaction without first giving the Compliance Department a detailed written notification describing the transaction and indicating whether or not they will receive compensation and obtaining prior written permission from the Compliance Department.

• Covered Persons may not engage in a Private Securities Transaction without first giving Compliance (a) a detailed written notification describing the transaction and (b) indicating whether or not they will receive compensation and obtaining prior written permission from Compliance.

• Investment Personnel who have been approved to acquire securities of an issuer in a Private Securities Transaction must disclose that investment to the Compliance Department and the Chief Investment Officer of the Investment Personnel’s business unit when they are involved in a Client’s subsequent consideration of an investment in the same issuer.

More Definitions of Private Securities Transaction

Private Securities Transaction means any securities transaction relating to offerings of securities which are not publicly traded. Employees may not purchase or acquire any

Private Securities Transaction means any securities transaction outside of Fortune Financial Services. This does not include transactions among immediate family members (as defined in FINRARule 5130), for which no associated person receives any selling compensation, and personal transactions in investment company and variable annuity securities, shall be excluded.

Private Securities Transaction means, any securities transaction outside the regular course or scope of a registered representative’s employment, including, though not limited to, new offerings of securities that are not registered (including such items as promissory notes).

Private Securities Transaction. ’ shall mean any securities transaction outside the regular course or scope of an associated person’s employment with a member, including, through not limited to, new offerings of securities which are not registered with the Commission, provided however that transactions subject to the notification requirements of Rule 3050, transactions among immediate family members (as defined in Rule 2790 [IM–2110–1, Free-Riding and Withholding]), for which no associated person receives any selling compensation, and personal transactions in investment company and variable annuity securities, shall be excluded.

Private Securities Transaction means any securities transaction outside the regular course or scope of Representative’s affiliation with AEWM, including but not limited to new offerings which are not registered with the SEC and including without limitation, stocks, bonds, options, warrants, rights, mutual funds, public and private partnerships, limited liability company and corporate equity or debt interests, and raising money through private or public means for individuals or entities;

Private Securities Transaction means any securities transaction outside the regular course or scope of an associated person's employment with a member, including, though not limited to, new offerings of securities which are not registered with the Commission, provided however that transactions subject to the notification requirements of Rule 3050, transactions among immediate family members (as defined in Rule 2790 "Purchase and Sale of IPOs of

Private Securities Transaction means any securities transaction that is executed outside the regular course or scope of an associated person's employment with a the Firm. This includes any referral fees, commissions or any other payment of cash or anything of value or gift that is tied to the completion of or based on the size of an executed securities transaction not executed by the Firm.