Exempt securities

Exempt securities

Exempt Securities

Securities that do not need to be registered with the SEC under the Security Act of 1933 or the Securities Exchange Act of 1934. Examples of exempt securities include small issues, agency securities, most other debt instruments issued by the federal or a local government, and issues made only in a single state. Private placements are also usually exempt from registration.
References in periodicals archive ?
There are several types of exempt securities, as stated in Section 10.
These breakout groups will develop recommendations on a variety of issues related to small business capital formation including exempt securities offerings, offerings by smaller reporting companies, and the secondary marketplace for securities of small businesses.
This means the list of exempt securities is not fixed.
He represents corporate buyers, sellers and target companies in complex mergers, acquisitions and divestitures; issuers and underwriters in public securities offerings; issuers, investors and placement agents in private and exempt securities offerings; portfolio I companies and investors in private equity transactions; I and institutional lenders and borrowers in secured financing
It is organized into 19 chapters, dealing with such topics as exempt securities, secondary distributions, insider trading, shareholder voting, and corporate takeovers.
For example, for exempt securities acquisition loans relying on the 50% interest exclusion under IRC section 133, loans made after July 10, 1989, were limited to 15 years (subject to certain grandfather rules).
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Gaynor represents corporate buyers, sellers and target companies in complex mergers, acquisitions and divestitures; issuers and underwriters in public securities offerings; issuers, investors and placement agents in private and exempt securities offerings; portfolio companies and investors in private equity transactions; and institutional lenders and borrowers in secured financing transactions.
But 4,097 exempt securities filed by companies in 2004 resulted in less of a shortfall and consequently less need for an assessment to maintain revenue neutrality, according to Catherine Weatherford, NAIC executive vice president and CEO.
265(a)(2) is only applicable where the indebtedness is incurred or continued for the purpose of purchasing or carrying tax exempt securities.
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Filing exempt securities allow insurers to report these holdings to regulators without submitting them to the securities valuation office, the NMC said.