Securities Offerings definition
Examples of Securities Offerings in a sentence
Licensed General Securities Representative (Series 7), Licensed Investment Adviser Representative (Series 65), or Licensed Private Securities Offerings Representative (Series 82) certifications.
The Subscriber is a resident of the District of Columbia and is not investing more than any applicable maximum investment limits under the District of Columbia-Only Securities Offerings Exemption, as set out in 26-B DCMR §§ 250 – 256.
The Parties agree that DriveWealth will be the exclusive provider of closing, settlement, custody, and related Services for Issuer’s Securities Offerings; provided, however, that Issuer shall be permitted to establish, maintain or permit any other person to establish or maintain on its behalf a transfer agent to perform transfer agent services with respect to the Securities, specifically including the Transfer Agent or any successor transfer agent.
A natural person holding in good standing one or more of the following professional certifications or designations or credentials (check all that apply): ☐ Licensed General Securities Representative (Series 7); ☐ Licensed Investment Adviser Representative (Series 65); or ☐ Licensed Private Securities Offerings Representative (Series 82).
A Private Securities Offerings Representative License (“Series 82”).