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[DOC File]users.wfu.edu
https://info.5y1.org/sec-issuer-definition_1_41b03e.html
allows identifying information about issuer, exempts from definition of “prospectus” available to issuer, UW or participant (a) information: issuer info, info about security, issuer’s business, price of security, use of proceeds, identity of sender, names of UWs, schedule and nature of offering
check issuer definition

[DOC File]Texas Constitution and Statutes - Home
https://info.5y1.org/sec-issuer-definition_1_9a4b10.html
Sec. 544.156. HEALTH BENEFIT PLAN ISSUER OR LIFE INSURER NOT LIABLE FOR DEATH OR BODILY INJURY. A health benefit plan issuer or life insurer that delivers, issues for delivery, or renews a health benefit plan or a life insurance policy or contract for an individual who has been or may become a victim of family violence may not be held civilly ...
foreign issuers sec requirements

[DOC File]International Swaps and Derivatives Association
https://info.5y1.org/sec-issuer-definition_1_aefd6f.html
Party B represents that Party B is not an issuer of securities registered under Section 12 of, or required to file reports under Section 15(d) of, the Securities Exchange Act of 1934 (an “SEC Issuer/Filer”). If you checked the first box in Section 5(d)(iii) above, please complete the following representation.
reporting issuer definition

ChecklIst application - Home | DART
The SEC later amended the definition of an accelerated through its . final rule (SEC Release No. 34-88365) in order to more closely, although not completely, align an issuer’s filing status determination with the amended SRC definition.
bond issuer definition

[DOC File]AICPA Plain English Guide to Independence
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SEC and PCAOB rules require independence of an Issuer that is an Audit Client and various affiliated entities of the client. Note: SEC rules also require a client’s audit committee (or equivalent) to pre-approve all audit and nonaudit services provided by the firm to an Issuer and the Issuer’s consolidated entities.
issuers vs non issuers

[DOC File]Bancroft Securities Outline (Fall 2007)
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“issuer”—includes any person directly or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer. “underwriter”—any person who has purchased from an issuer or an affiliate of the issuer with a view to, or offers or sells for an issuer …
foreign private issuer definition

SEC Compliance Checklist -- General
See the definition of “predecessor” in Exchange Act Rule 12b-2 and Securities Act Rule 405. See additional guidance under Topic 2 of the SEC Financial Reporting Manual relating to financial statements or financial information under Rule 3-05, 3-09, 3-10, and 3-14 of Regulation S-X for entities other than the issuer.]
issuer online

[DOCX File]Wake Forest Student, Faculty and Staff Web Pages
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‘issuer free writing prospectus’ is all information distributed by the issuer, on behalf of the issuer, or used or referred to by the issuer ‘issuer information’ is defined as material information about the issuer or its securities that has been provided by or on behalf of the issuer
issuer definition

[DOC File]Broker’s Representation Letter
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Reporting issuer) The Company (a) has been subject to such 1934 Exchange Act filing requirements for at least 90 days, (b) has filed all reports required by Rule 144(c), and (c) has been in compliance with Rule 144(i)(2) for at least 12 months if the Company was ever a shell company as defined by Rule 405. Or _____(Non-reporting issuer
check issuer definition

[DOC File]Sec - NYU Law
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XI. Coverage of SEC Acts - definition of security. 1 Intro. A. wherever you read that an act, reg., etc. applies to all securities, it must be found to be a sec. first to apply. B. besides avoiding fed. regs by not finding it to be a sec., other ways to avoid them: 1. issuer is exempt under SA sec. 3. 2. transaction exempt under sec. 4(2)
foreign issuers sec requirements

Sec issuer definition