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Rule 144A.Securities Act of 1933, as amended (the "Securities Act") provides a safe harbor from the registration requirements of the Securities Act of 1933 for certain private resales of minimum $500,000 units of restricted securities to qualified institutional buyers (QIBs), which generally are large institutional investors that own at least $100 million in investable assets.
ADRs are one type of depositary receipt (DR), which are any negotiable securities that represent securities of companies that are foreign to the market on which the DR trades. DRs enable domestic investors to buy securities of foreign companies without the accompanying risks or inconveniences of cross-border and cross-currency transactions.
Form 144, required under Rule 144, is filed by a person who intends to sell either restricted securities or control securities (i.e., securities held by affiliates). Form 144 is notification to the SEC of this intention to sell and must take place at the time the sell order is placed with the broker-dealer.
The 1933 Act was the first major federal legislation to regulate the offer and sale of securities. [1] Prior to the Act, regulation of securities was chiefly governed by state laws, commonly referred to as blue sky laws. When Congress enacted the 1933 Act, it left existing state blue sky securities laws in place.
Standard Form 312 (SF 312) is a non-disclosure agreement required under Executive Order 13292 to be signed by employees of the U.S. Federal Government or one of its contractors when they are granted a security clearance for access to classified information.
The Office of Alien Property Custodian was an office within the government of the United States during World War I and again during World War II, serving as a custodian to property that belonged to US enemies. The office was created in 1917 by Executive Order 2729-A under the Trading with the Enemy Act of 1917 (TWEA) in order to "assume control ...
The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. As of October 2023, FINRA oversaw 3,394 brokerage firms, 149,887 branch offices ...
In United States business law, a registered agent (also known as a resident agent, [1] statutory agent, [2] or agent for service of process[3]) is a business or individual designated to receive service of process (SOP) when a business entity is a party in a legal action such as a lawsuit or summons. [4] The registered agent 's address may also ...