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[DOC File]Title 36b - Connecticut
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(b) The following transactions are exempted from sections 36b 16 and 36b 22: (1) Any isolated nonissuer transaction, whether effected through a broker dealer or not; (2) any nonissuer transaction by a registered agent of a registered broker dealer in a security of a class that has been outstanding in the hands of the public for at least ninety ...
issuer transaction

[DOCX File]NAIFA Oregon - Home
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(2) An isolated nonissuer transaction in this state, whether effected through a broker-dealer or not. (3) Any transaction by an issuer in its securities pursuant to a pro rata offering to its existing security holders, if: (a) No commission or remuneration, other than a standby fee, is paid or given directly or indirectly in connection with the ...
nonissuer vs issuer audit

[DOC File]CHAPTER 1
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The State of South Carolina owns the copyright to the Code of Laws of South Carolina, 1976, as contained herein. Any use of the text, section headings, or catchlines of the 1976 Code is subject to the terms of federal copyright and other applicable laws and such text, section headings, or catchlines may not be reproduced in whole or in part in any form or for inclusion in any material which is ...
non issuer definition

DOB Regulation Compilation - Connecticut
Exemption for isolated non-issuer transactions 135. ... Exemption for non-issuer transaction through a registered broker-dealer 136. Secs. 36b-31-21b-4 to 36b-31-21b-8. Reserved 136. Sec. 36b-31-21b-9a. Exemption for transactions pursuant to Section 4(2) of the Securities Act of 1933 136. Sec. 36b-31-21b-9b. Exemption for transactions pursuant ...
non issuer broker dealer definition

[DOCX File]Title
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(xxiii) A nonissuer transaction in an outstanding security by or through a brokerdealer registered or exempt from registration under this act, if the issuer is a reporting issuer in a foreign jurisdiction designated by this paragraph or by rule adopted or order issued under this act; has been subject to continuous reporting requirements in the ...
non issuer and issuer audit

[DOC File]HB 831 e.ky.gov
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(c) Any nonissuer transaction effected by or through a registered broker-dealer pursuant to an unsolicited order or offer to buy; but the commissioner may by rule require that the customer acknowledge upon a specified form that the sale was unsolicited, and that a signed copy of each such form be preserved by the broker-dealer for a specified ...
non issuer audit

[DOC File]CHAPTER 1
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This statutory database is current through the 2005 Regular Session of the South Carolina General Assembly. Changes to the statutes enacted by the 2006 General Assembly, which will convene in January 2006, will be incorporated as soon as possible.
maryland issuer agent registration

[DOCX File]Maine State Legislature
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Nonissuer transactions in specified foreign transactions. A nonissuer transaction by or through a broker-dealer licensed under or exempt from licensing under this chapter in a security of a foreign issuer that is a margin security defined in regulations or rules adopted by the Board of Governors of the Federal Reserve System; [PL 2005, c. 65, Pt.
issuers vs non issuers

[DOCX File]Maine Legislature
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Nonissuer transactions in specified foreign transactions. A nonissuer transaction by or through a broker-dealer licensed under or exempt from licensing under this chapter in a security of a foreign issuer that is a margin security defined in regulations or rules adopted by the Board of Governors of the Federal Reserve System; [PL 2005, c. 65, Pt.
issuer transaction

[DOC File]Regulatory Compliance Training, GRC Advisory & Consulting ...
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The director shall from time to time obtain the necessary furniture, stationery, fuel, light, and other proper conveniences for the transaction of the business of the Department of Managed Health Care. § 1341.2. Personnel of the Department of Managed Health Care
nonissuer vs issuer audit

Isolated nonissuer transaction