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 ?
The securities referred to herein may be held only by, and transferred only to, eligible investors referred to in Article 4 of the Belgian Royal Decree of 26 May 1994, holding their securities in an exempt securities account that has been opened with a financial institution that is a direct or indirect participant in the Securities Settlement System operated by the National Bank of Belgium.
BANKING AND CREDIT NEWS-October 11, 2018-North Capital to launch custody solution for exempt securities
M2 EQUITYBITES-October 11, 2018-North Capital to launch custody solution for exempt securities
Global Banking News-October 11, 2018-North Capital to launch custody solution for exempt securities
Exempt securities are securities that do not need to be registered with the SEC.
"The innovative technology behind these virtual transactions does not exempt securities offerings and trading platforms from the regulatory framework designed to protect investors and the integrity of the markets," said Stephanie Avakian, Co-Director of the SEC's Enforcement Division.
Securities & Exchange Commission to establish rules allowing companies to use crowdfunding to raise capital in an exempt securities offering.
For example, the employee stock option plans (Esop) issued by a corporation to its eligible employees are exempt securities.
(5.) 65 Congressional Record 10373, 10409 (1918), House Hearings on Tax Exempt Securities, 67th Cong., 102, 211,231,232 (1922), Conference Committee, 73rd Cong., 5420-21, 5857 (1933) and Hearings on Proposed Legislation Relating to Tax Exempt Securities, 76th Cong.
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.
* Taxable Social Security benefits, indicating a need for tax exempt securities in his or her investment plans.