State Securities Act definition

State Securities Act means, collectively, the securities law of any State that is applicable to this Note or the Common Stock and any regulations promulgated thereunder.
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Examples of State Securities Act in a sentence

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  • Seller understands that the Transaction Shares that it will acquire pursuant to this Agreement have not been registered under the United State Securities Act of 1933, as amended (the "Act").

  • The shares discussed herein have not been and will not be registered under the United State Securities Act of 1933, as amended (the “Securities Act”) or with any securities regulatory authority of any state or other jurisdiction of the United States and may not be offered or sold in the United States, or to, or for the account or benefit of, US Persons (as such terms are defined in Regulation S under the Securities Act) absent registration or an exemption from registration.

  • Methodology: If you define a type to be a datatype that is not exported in the signature, the type is abstract.

  • Each certificate of stock of the corporation shall have the following legends conspicuously typewritten or printed upon its face: "The stock represented by this certificate is subject to restriction on transferability under Article XII of the Bylaws of the Corporation." "The securities represented hereby have not ben registered under the Securities Act of 1933 or any State Securities Act.

  • The arguments Cohen makes in his petition for review have been repeatedly rejected.On August 25, 2015, the trial court denied Cohen’s motion for summary judgment seeking dismissal of Newcomer’s Washington State Securities Act (“WSSA”) claim.

  • Appellant complains that he “has been charged with a crime that does not exist” because the statute under which he has been charged for acting as an investment advisor representative without being registered to do so as required by the State Securities Act “is unconstitutionally vague, and therefore, invalid, having been preempted by federal securities laws.”4 Pet.

  • XXXX is not obligated to register the resale of any of its common stock on behalf of any shareholder of XXXX under the United State Securities Act of 1933.

  • They claimed—without alleging any facts—that Citigroup violated federal and state discrimination statutes, the Washington State Securities Act, and the Washington Consumer Protection Act (CPA) by failing to sell Plaintiffs the bonds they sought.

  • PEN CODE § 1.05(b) (making section 311.011 applicable to Texas Penal Code and concurrently stating that “[t]he rule that a penal statute is to be strictly construed does not apply to this [Penal] code.”).Instead, as the Court of Criminal Appeals has repeatedly held: “The State Securities Act is highly penal in nature and requires that it be strictly construed.

Related to State Securities Act

  • 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 Act (Ontario) means the Securities Act, R.S.O. 1990, c.S.5, as amended, and the regulations thereunder, unless otherwise specified, as the same exist on the date hereof.

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

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

  • U.S. Securities Laws means all applicable securities legislation in the United States, including without limitation, the U.S. Securities Act, the U.S. Exchange Act and the rules and regulations promulgated thereunder, and any applicable state securities laws;

  • Israeli Securities Law means the Israeli Securities Law, 5728-1968, as amended, and the regulations promulgated thereunder.

  • Federal Securities Laws means the Securities Act of 1933, the Securities Exchange Act, the Sarbanes-Oxley Act of 2002, the Investment Company Act, the Investment Advisers Act, Title V of the Gramm-Leach-Bliley Act, any rules adopted by the Securities and Exchange Commission (the “Commission”) under any of these statutes, the Bank Secrecy Act as it applies to investment companies and investment advisers, and any rules adopted thereunder by the Commission or the Department of the Treasury.

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

  • Securities Laws means the 1933 Act, the 1934 Act and the 1940 Act.

  • Canadian Securities Laws means all applicable securities laws of each of the Qualifying Jurisdictions and the respective rules and regulations under such laws together with applicable published national, multilateral and local policy statements, instruments, notices, blanket orders and rulings of the securities regulatory authorities in the Qualifying Jurisdictions;

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

  • Charities Act means the Charities Act 2011;

  • 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.

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

  • 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.

  • Private Securities has the meaning set forth in Annex A hereto.

  • Rule 144A Securities means Securities of a series designated pursuant to Section 2.01 as entitled to the benefits of Section 4.03(b).

  • Applicable Securities Laws means the applicable securities legislation of each relevant province and territory of Canada, as amended from time to time, the rules, regulations and forms made or promulgated under any such statute and the published national instruments, multilateral instruments, policies, bulletins and notices of the securities commission and similar regulatory authority of each province and territory of Canada.

  • Canadian securities legislation means the securities laws in force in each province and territory of Canada, all regulations, rules, orders and policies made thereunder and all multilateral and national instruments adopted by the Securities Regulatory Authorities in such jurisdictions;

  • Investment Company Act of 1940 means the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.

  • United States Securities Person Any “U.S. person” as defined in Rule 902(k) of Regulation S.

  • Securities lending or "securities borrowing" means a transaction by which a counterparty transfers securities subject to a commitment that the borrower will return equivalent securities on a future date or when requested to do so by the transferor, that transaction being considered as securities lending for the counterparty transferring the securities and being considered as securities borrowing for the counterparty to which they are transferred;

  • Hague Securities Convention means the Hague Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Intermediary (concluded July 5, 2006).

  • Applicable Canadian Securities Laws means, collectively, and as the context may require, the applicable securities legislation of each of the provinces and territories of Canada, and the rules, regulations, instruments, orders and policies published and/or promulgated thereunder, as such may be amended from time to time prior to the Effective Date;

  • Securities Lending Agreement means an agreement under which a local agency agrees to transfer securities to a borrower who, in turn, agrees to provide collateral to the local agency. During the term of the agreement, both the securities and the collateral are held by a third party. At the conclusion of the agreement, the securities are transferred back to the local agency in return for the collateral.