Securities Legislation Applicable to the Issuer definition

Securities Legislation Applicable to the Issuer. The “Securities Legislation Applicable to the Issuer” is the US Securities Exchange Act of 1934, and the Securities Commission having jurisdiction over the Issuer is the United States Securities and Exchange Commission (the “Commission”). The purpose of this Questionnaire is to assure Anavex Life Sciences Corp. (the “Company”) that the undersigned (the “Subscriber”) will meet certain requirements for the registration and prospectus exemptions provided for under National Instrument 45-106 (“NI 45-106”), as adopted by the Securities Commissions in Canada, in respect of a proposed private placement of securities by the Company (the “Transaction”). The Company will rely on the information contained in this Questionnaire for the purposes of such determination. The undersigned Subscriber covenants, represents and warrants to the Company that:
Sample 1Sample 2Sample 3
Securities Legislation Applicable to the Issuer is the 1933 Act (as defined herein), U.S. Securities Exchange Act of 1934.
Sample 1Sample 2Sample 3
Securities Legislation Applicable to the Issuer. The “Securities Legislation Applicable to the Issuer” are the US Securities Exchange Act of 1934, and the Securities Commission having jurisdiction over the Issuer are the United States Securities and Exchange Commission.
Sample 1Sample 2

Examples of Securities Legislation Applicable to the Issuer in a sentence

  • The "Securities Legislation Applicable to the Issuer" is the U.S. Securities Exchange Act of 1934, and the Securities Commission having jurisdiction over the Issuer is the United States Securities and Exchange Commission.

  • Your answers will be strictly confidential at all times, however, each person who completes this questionnaire hereby agrees that the Issuer may present this questionnaire to such parties as it deems appropriate for verification in order to assure itself and future issuers that the subsequent offer and sale of securities will not result in a violation of the prospectus and registration provisions of the Securities Legislation Applicable to the Issuer.

  • Securities Legislation Applicable to the Issuer The “Securities Legislation Applicable to the Issuer” is the 1933 Act, 1934 Act, any applicable state securities laws, the BC Act and any applicable provincial securities laws.

  • Securities Legislation Applicable to the Issuer The "SECURITIES LEGISLATION APPLICABLE TO THE ISSUER" is the 1933 Act, 1934 Act, any applicable state securities laws, the BC Act and any applicable provincial securities laws.

  • Sellers have not been notified of any deductions from unpaid invoices with respect to any Customer Contract.


More Definitions of Securities Legislation Applicable to the Issuer

Securities Legislation Applicable to the Issuer. The “Securities Legislation Applicable to the Issuer” are the Securities Act (British Columbia) and the Securities Act (Alberta) and the “Commissions with Jurisdiction over the Issuer” are the British Columbia Securities Commission and the Alberta Securities Commission.
Sample 1Sample 2Sample 3
Securities Legislation Applicable to the Issuer. The “Securities Legislation Applicable to the Issuer” is the U.S. Securities Exchange Act of 1934, and the Securities Commission having jurisdiction over the Issuer is the United States Securities and Exchange Commission. All capitalized terms herein, unless otherwise defined, have the meanings ascribed thereto in the Subscription Agreement. This Questionnaire is for use by each Purchaser who is a US person (as that term is defined Regulation S of the United States Securities Act of 1933 (the “1933 Act”)) and has indicated an interest in purchasing Shares of the Issuer. The purpose of this Questionnaire is to assure the Issuer that each Purchaser will meet the standards imposed by the 1933 Act and the appropriate exemptions of applicable state securities laws. The Issuer will rely on the information contained in this Questionnaire for the purposes of such determination. The Securities will not be registered under the 1933 Act in reliance upon the exemption from registration afforded by Section 3(b) and/or Section 4(2) and Regulation D of the 1933 Act. This Questionnaire is not an offer of the Securities or any other securities of the Issuer in any state other than those specifically authorized by the Issuer. All information contained in this Questionnaire will be treated as confidential. However, by signing and returning this Questionnaire, each Purchaser agrees that, if necessary, this Questionnaire may be presented to such parties as the Issuer deems appropriate to establish the availability, under the 1933 Act or applicable state securities law, of exemption from registration in connection with the sale of the Securities hereunder. The Purchaser covenants, represents and warrants to the Issuer that it satisfies one or more of the categories of “Accredited Investors”, as defined by Regulation D promulgated under the 1933 Act, as indicated below: (Please initial in the space provide those categories, if any, of an “Accredited Investor” which the Purchaser satisfies.) __________ Category 1 An organization described in Section 501(c)(3) of the United States Internal Revenue Code, a corporation, a Massachusetts or similar business trust or partnership, not formed for the specific purpose of acquiring the Securities, with total assets in excess of US $5,000,000.
Sample 1Sample 2
Securities Legislation Applicable to the Issuer is the 1933 Act (as defined herein), U.S. Securities Exchange Act of 1934. Capitalized terms not specifically defined in this certificate have the meaning ascribed to them in the Subscription Agreement to which this certificate is attached. In this certificate, dollar amounts are stated in U.S. dollars. The Subscriber hereby represents, warrants and certifies to the Issuer, as an integral part of the attached Subscription Agreement, that he, she or it is and at Closing will be correctly and in all respects described by the category or categories set forth directly next to which the Subscriber has marked below:
Sample 1Sample 2
Securities Legislation Applicable to the Issuer. The “Securities Legislation Applicable to the Issuer” is the Securities Act (British Columbia) and the Securities Act of 1933, and the “Commissions with Jurisdiction over the Issuer” are the British Columbia Securities Commission and the United States Securities and Exchange Commission. In the following provisions applicable to a purchaser resident in British Columbia and the Subscription Agreement (including the first (cover) page and all of the appendices), the following words have the following meanings unless otherwise indicated:
Sample 1
Securities Legislation Applicable to the Issuer. The “Securities Legislation Applicable to the Issuer” are the US Securities Exchange Act of 1934, the Securities Act (British Columbia) and the Securities Act (Alberta), and the Securities Commissions having jurisdiction over the Issuer are the British Columbia Securities Commission and the Alberta Securities Commission United States Securities and Exchange Commission. Subscription Agreement (with related appendices, schedules and forms) Page 18
Sample 1
Securities Legislation Applicable to the Issuer. The "Securities Legislation Applicable to the Issuer" are the SECURITIES ACT (British Columbia) and the SECURITIES ACT (Alberta) and the "Commissions with Jurisdiction over the Issuer" are the British Columbia Securities Commission and the Alberta Securities Commission. END OF TERMS ACCREDITED INVESTOR QUESTIONNAIRE (Capitalized terms not specifically defined in this Questionnaire have the meaning ascribed to them in the Subscription Agreement to which this Schedule is attached.) In connection with the execution of the Subscription Agreement to which this Schedule is attached, the undersigned (the "Purchaser") represents and warrants to the Issuer that: IF I AM AN INDIVIDUAL (THAT IS, A NATURAL PERSON AND NOT A CORPORATION, PARTNERSHIP, TRUST OR OTHER ENTITY), THEN I SATISFY ONE OR MORE OF THE CATEGORIES INDICATED BELOW (PLEASE PLACE AN "X" ON THE APPROPRIATE LINES):
Sample 1
Securities Legislation Applicable to the Issuer. The “Securities Legislation Applicable to the Issuer” is the Securities Act (British Columbia), the Securities Act (Alberta) and the Securities Act Ontario. The “Commissions with Jurisdiction over the Issuer” are the British Columbia Securities Commission, the Alberta Securities Commission and the Ontario Securities Commission. (Capitalized terms not specifically defined in this Questionnaire have the meaning ascribed to them in the Subscription Agreement to which this Questionnaire is attached.) In connection with the execution of the Subscription Agreement to which this Questionnaire is attached, the undersigned (the “Purchaser”) represents and warrants to the Issuer that the Purchaser satisfies one or more of the categories indicated below (please place an “X” on the appropriate lines): ____ Category 1 a Canadian financial institution, or an authorized foreign bank listed in Schedule III of the Bank Act (Canada) ____ Category 2 the Business Development Bank of Canada incorporated under the Business Development Bank of Canada Act (Canada) ____ Category 3 a subsidiary of any person or company referred to in Categories 1 or 2, if the person or company owns all of the voting securities of the subsidiary, except the voting securities required by law to be owned by directors of that subsidiary ____ Category 4 a person or company registered under the securities legislation of a jurisdiction of Canada, as an adviser or dealer, other than a person registered solely as a limited market dealer under one or both of the Securities Act (Ontario) or the Securities Act (Newfoundland and Labrador) ____ Category 5 an individual registered or formerly registered under the securities legislation of a jurisdiction of Canada, as a representative of a person or company referred to in Category 4 ____ Category 6 the Government of Canada or a jurisdiction of Canada, or any crown corporation, agency or wholly owned entity of the government of Canada or a jurisdiction of Canada ____ Category 7 a municipality, public board or commission in Canada and a metropolitan community, school board, the Comite de gestion de la taxe scolaire de L’ile de Montreal or an intermunicipal management board in Quebec ____ Category 8 any national, federal, state, provincial, territorial or municipal government of or in any foreign jurisdiction, or any agency of that government ____ Category 9 a pension fund that is regulated by either the Office of the Superintendent of Financial Institutions (Canada)...
Sample 1