Registration of securities

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  • The term "person" means an individual, a corporation, a partnership, an association, a joint- stock company, a trust, any unincorporated organization, or a government or political subdivision thereof. As used in this paragraph the term "trust" shall include only a trust where the interest or interests of the beneficiary or beneficiaries are evidenced by a security.

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  • Absent an exemption, all offers and sales of securities must be registered with the Securities and Exchange Commission (SEC) under the Securities Act. Because venture capital funds and private equity funds are offering and selling securities when they seek and accept investors into their funds, such offers and sales must be registered with the SEC, unless an exemption is available. Generally, fund managers do not want to register the offers and sales of interests in their funds.

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  • With the increased use of technology to share information among law enforcement agencies and the courts, it is common for jurisdictions to place information regarding civil and criminal cases, including protection 9 orders, in secure governmental databases or on websites to allow for easy access to case information. VAWA limits the personal information that can be publicly posted on the Internet.

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  • The automotive industry is becoming evermore global, and our international presence has been a key factor in the recent growth of the Agency. The South American markets have developed rapidly in recent years, and have become a key sector for many of our customers. Therefore the Agency is planning to establish a local presence in this region. The quality of our service has underpinned our delivery, and we need to continually invest in improving our standards. Our Ministerial outcomes will focus on improving systems, quality of service, and efficiency of delivery. We...

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  • Chapter 45 provides knowledge of securities regulation. After completing this chapter, students will be able to: Define “security” and explain how issuances and issuers of securities are regulated, describe communication rules for a public offering of securities, list the securities act’s exemptions from registration, discuss liability for securities.

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  • Funds raising money outside the United States often rely on Regulation S under the Securities Act for their exemption from the registration requirements of the Securities Act. Regulation S uses a territorial approach for offers and sales of securities pursuant to which the registration requirements of the Securities Act apply to persons in the United States, regardless of citizenship, but do not apply to persons residing outside the United States.

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  • Chapter 45 - Securities regulation. After completing this chapter, students will be able to: Define “security” and explain how issuances and issuers of securities are regulated, describe communication rules for a public offering of securities, list the securities act’s exemptions from registration, discuss liability for securities.

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  • Question Kidszone School wants to store the information of students and their parents in their database. This will help them to better administer and control the new student registration process as well as manage already existing records of enrolled students. The School Management Board has chosen your company to provide a solution for the same. Consider yourself to be a part of the team that implements the solution for designing the application.

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  • Integrated Communications Command Center. One of the most important components in planning security for major special events is to develop an integrated communications command center. he integrated communications command center brings together key leaders and actors from all the agencies and jurisdictions involved in supporting security at the event. At the federal level, examples of integrated communications command centers include the DHS Joint Field Oice (JFO); DHS/U.S. Secret Service’s Multi-Agency Command Center (MACC); and the FBI’s Joint Operations Center (JOC).

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  • Kidszone School wants to store the information of students and their parents in their database. This will help them to better administer and control the new student registration process as well as manage already existing records of enrolled students. The School Management Board has chosen your company to provide a solution for the same. Consider yourself to be a part of the team that implements the solution for designing the application.

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  • Account Details: Account Details means your BSB and bank account number, credit card number or customer account number, Customer Registration Number, passwords or security codes. Electronic communication: Message transmitted and/or received by: email, short message service (SMS), multimedia message service (MMS) or instant messaging or WAP. Email: The act of sending a message or messages by electronic means to one or more recipients via a network. Financial Details: Means details in relation to your salary, rent, earnings, expenditure, repayments, account balances.

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  • Securities regulators oversee Canada’s capital markets and the advisers who sell and manage securities traded in those markets. We strive to protect investors from unfair, improper and fraudulent practices while fostering a fair and efficient marketplace. You can contact your local securities regulator listed on page 20 to check the registration of an individual or firm, and to find out if they have been involved in any disciplinary actions.

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  • First, we show that the source of FI’s recent excellent performance is not from its ability to systematically arbitrage mispricing in a noisy market but from increasing the portfolio’s exposure to stocks with low price-to-book values and with small capitalizations. We find that FI does not produce a positive alpha when its excess returns are explained by the Fama-French three-factor model of CAPM beta, the value premium and the size premium.

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  • By far the most common exemption relied upon to avoid registration under the Securities Act is the private placement exemption. Under Section 4(2) of the Securities Act, the obligation to register the offer and sale of securities does not apply to transactions by an issuer not involving a public offering. This simple concept—the private placement—has mushroomed into an entire body of law unto itself. Case after case has made its way through courts as a result of uncertainty with respect to what is meant by “not involving a public offering.

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  • The Advisers Act defines an “investment adviser” as any person who, for compensation, engages in the business of advising others as to the value of securities or as to the advisability of investing in, purchasing, or selling securities or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities. The Advisers Act covers investment advisers with assets of $25 million or more under management. Investment advisers with less than $25 million under management are to be regulated by the states.

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  • Some of the benefits of registration are that registered fund managers (i) may have 15 or more clients; (ii) will be able to allow significant participation by corporate pensions under the Employee Retirement Income Security Act of 1974, as amended; (iii) may attract certain government employee benefit plans that require their managers to be registered investment advisers; and (iv) will be permitted to hold themselves out broadly to the public as investment advisers to attract clients, generally, provided they do so in a manner that does not run afoul of the private placement of inter...

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  • Productivity and efficiencies are gained by letting employees work anytime from anywhere Real-time vs. batch-mode speeds up the cadence of decision-making to gain a competitive advantage Timely information allows employees to make better decisions at the point of activity

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  • Profit plan: A company’s total budget used in achieving a desired profit goal. Sometimes the term refers only to the operating budget, and sometimes it is used synonymously with the term master budget. Prospectus: Part I of a Registration Statement filed by a company offering its securities to the public, which Registration Statement is filed with and must be approved by the Securities and Exchange Commission. The Prospectus describes the registering company, its business and finances, and the risk factors the company faces.

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  • (Exact name of registrant as specified in its charter) (State or other jurisdiction of incorporation or organization) (Primary Standard Industrial Classification Code Number) (I.R.S.

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  • Despite the mixed signals, the authorities are taking steps to improve the business climate. Zimbabwe has eased business start-up by reducing registration fees and initiated a process to speed up the name search process and company and tax registration. In addition, the corporate income tax rate was reduced from 30% to 25%, the capital gains tax was lowered from 20% to 5%, and the payment of corporate income tax was simplified by allowing quarterly payment through commercial banks.

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