Securities Act Exemption definition

Securities Act Exemption has the meaning given to it the definition of “Unrestricted Common Stock”.
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Securities Act Exemption means either:
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Examples of Securities Act Exemption in a sentence

  • Section 4(a)(2) of the Securities Act Exemption and Subsequent Transfers VIII.

  • Section 4(a)(2) of the Securities Act Exemption and Subsequent Transfers Section 4(a)(2) of the Securities Act provides that the issuance of securities by an issuer in transactions not involving a public offering are exempt from registration under the Securities Act.

  • Section 4(a)(2) of the Securities Act Exemption and Subsequent Transfers‌ Section 4(a)(2) of the Securities Act provides that the issuance of securities by an issuer in transactions not involving a public offering are exempt from registration under the Securities Act.

  • If the transfer is being effected pursuant to a Securities Act Exemption other than ones set forth in (1) through (3) above, there shall be delivered to the Company an opinion of counsel with respect to such holders.

  • Securities Act Exemption and Compliance; Registration Rights..........................

  • Generally, Rule 144 of the Securities Act would permit the public sale of securities received by such person after a specified holding period if current information regarding the issuer is publicly available and certain other conditions are met, and, if such seller is an affiliate of the issuer, if volume limitations and manner of sale requirements are met.C. Section 4(a)(2) of the Securities Act Exemption and Subsequent Transfers.

Related to Securities Act Exemption

  • Securities Act (Ontario) means the Securities Act, R.S.O., 1990, S.5, as amended, and the regulations and rules thereunder, and any comparable or successor laws or regulations or rules thereto;

  • Section 162(m) Exemption means the exemption from the limitation on deductibility imposed by Section 162(m) of the Code that is set forth in Section 162(m)(4)(C) of the Code.

  • INHAM Exemption is defined in Section 6.2(e).

  • QPAM Exemption is defined in Section 6.2(d).

  • Underwriter’s Exemption Prohibited Transaction Exemption 2002-41, 67 Fed. Reg. 54487 (2002), as amended (or any successor thereto), or any substantially similar administrative exemption granted by the U.S. Department of Labor.

  • 1933 Securities Act means the Securities Act of 1933 of the United States, as amended, and the rules and regulations thereunder, and any comparable or successor laws or regulations thereto.

  • U.S. Securities Act means the United States Securities Act of 1933, as amended;

  • Securities Acts means the Securities Act of 1933 and the Securities Exchange Act of 1934.

  • Statutory Exemption means the statutory exemption under Section 408(b)(17) of ERISA and Section 4975(d)(20) of the Code.

  • Securities Act means the Securities Act of 1933, as amended.

  • FRB Regulation D means Regulation D as promulgated by the Board of Governors of the Federal Reserve System, 12 CFR Part 204, as amended.

  • New Exemption means the exemption from real property taxation provided hereunder with respect to the Exemption Area.

  • Investor-Based Exemption Any of Prohibited Transaction Class Exemption ("PTCE") 84-14 (for transactions by independent "qualified professional asset managers"), PTCE 91-38 (for transactions by bank collective investment funds), PTCE 90-1 (for transactions by insurance company pooled separate accounxx), XXXX 95-60 (for transactions by insurance company general accounts) or PTCE 96-23 (for transactions effected by "in-house asset managers"), or any comparable exemption available under Similar Law.

  • Securities Law means the Israeli Securities Law. 5728-1968.

  • Securities Act of 1933 means the United States Securities Act of 1933, as from time to time amended.

  • AIFM Regulation means Commission Delegated Regulation (EU) No. 231/2013.

  • FW Act means the Fair Work Act 2009 (Cth).

  • SEC Regulation D means Regulation D as promulgated under the Securities Act of 1933, as amended, as the same may be in effect from time to time.

  • certificate of exemption means any document evidencing that the entity is exempt from

  • Class Exemption A class exemption granted by the U.S. Department of Labor, which provides relief from certain of the prohibited transaction provisions of ERISA and the related excise tax provisions of the Code.

  • 1933 Act Regulations means the rules and regulations of the Commission under the 1933 Act.

  • OHS Regulation means the Workers Compensation Act (British Columbia), including without limitation, the Occupational Health & Safety Regulation (BC Regulation 296/97, as amended by BC Regulation 185/99) enacted pursuant to such Act, all as such Act or Regulations are amended or re-enacted from time to time.

  • Underwriter Exemption Collectively, (a) Prohibited Transaction Exemption 91-23, granted to a predecessor of Citigroup Global Markets Inc., (b) the prohibited transaction exemption granted to Deutsche Bank Securities Inc., Department Final Authorization Number 97-03E, and (c) the Prohibited Transaction Exemption 2002-19 granted to X.X. Xxxxxx Securities LLC, each as most recently amended by Prohibited Transaction Exemption 2013-08 and as further amended by the Department of Labor from time to time.

  • Public Utilities Act means the Illinois Public Utilities Act, 220 ILCS 5.

  • Advisers Act Rules and Regulations means the rules and regulations of the Commission under the Advisers Act.

  • Applicable Securities Law means (i) with respect to any offering of securities in the United States of America, or any other act or omission within that jurisdiction, the securities law of the United States, including the Exchange Act and the Securities Act, and any applicable law of any State of the United States, and (ii) with respect to any offering of securities in any jurisdiction other than the United States of America, or any related act or omission in that jurisdiction, the applicable laws of that jurisdiction.