Examples of exempt market dealer in a sentence
It is registered with the Commission as an Investment Fund Manager (“IFM”), an Exempt Market Dealer (“EMD”) and a PM.
In accordance with the order, Skyline Apartment REIT, the Exempt Market Dealer and Skyline Incorporated paid an administrative penalty of $300,000 in the aggregate and an additional $150,000, representing a portion of the Commission staff’s costs in the matter.
Jason Castellan, Wayne Byrd, Roy (Jason) Ashdown, and Martin Castellan were trustees or directors and/or officers of Skyline Apartment REIT, the Exempt Market Dealer and/or Skyline Incorporated at the time.
Reliance on BC Instrument 32-517 The Class A Shares may be sold pursuant to the dealer registration exemption contained in BCI 32-517 which provides limited relief from the requirements to register as an Exempt Market Dealer for trade in a security in connection with a prospectus-exempt distribution provided that the dealer meets the requirements of BCI 32-517.
Assumes the maximum equity fee raise equal to 1% of the gross proceeds of this Offering may be paid to the Exempt Market Dealer.