Underwriter Exemption definition

Underwriter Exemption. Collectively, (a) Prohibited Transaction Exemption 91-23, granted to a predecessor of Citigroup Global Markets Inc., (b) the prohibited transaction exemption granted to Deutsche Bank Securities Inc., Department Final Authorization Number 97-03E, and (c) the Prohibited Transaction Exemption 2002-19 granted to X.X. Xxxxxx Securities LLC, each as most recently amended by Prohibited Transaction Exemption 2013-08 and as further amended by the Department of Labor from time to time.
Underwriter Exemption. Prohibited Transaction Exemption 91-23 and Prohibited Transaction Exemption 89-88, both as most recently amended by Prohibited Transaction Exemption 2013-08 and as further amended by the Department of Labor from time to time.
Underwriter Exemption. Collectively, (a) Prohibited Transaction Exemption 91-23, granted to a predecessor of Citigroup Global Markets Inc., as most recently amended by Prohibited Transaction Exemption 2013-08 and as further amended by the Department of Labor from time to time.

Examples of Underwriter Exemption in a sentence

  • ERISA Qualifying Underwriting ----------------------------- A best efforts or firm commitment underwriting or private placement that meets the requirements (without regard to the ratings requirement or other requirements that the securities or the investor must satisfy) of the Underwriter Exemption, or any substantially similar administrative exemption granted by the U.S. Department of Labor.

  • Restricted Certificate ---------------------------- Any of the Class X Certificates or Class R Certificates; any Certificate of a Class that ceases to satisfy the applicable rating requirements of the Underwriter Exemption.

  • Underwriter Exemption --------------------- Prohibited Transaction Exemption 2002-41, 67 Fed Reg.

  • At the time of the delivery, all conditions of this Underwriter Exemption applicable to sales are met.

  • Regardless of from whom the BlackRock Manager purchases the Asset-Backed Securities, the purchase and holding of the Asset-Backed Security otherwise meets the conditions of an applicable Underwriter Exemption.


More Definitions of Underwriter Exemption

Underwriter Exemption. Any of (a) Prohibited Transaction Exemption 91-23, granted to a predecessor of Citigroup Global Markets Inc., (b) Prohibited Transaction Exemption 89-88 (October 17, 1989), granted to Gxxxxxx Sxxxx & Co. LLC, (c) Final Authorization Number 2004-03E (February 4, 2004), granted to Barclays Capital Inc., and (d) Prohibited Transaction Exemption 2006-07, 71 Federal Register 32134 (June 2, 2006), granted to a predecessor of BMO Capital Markets Corp., each as most recently amended by Prohibited Transaction Exemption 2013-08, and as each may be further amended by the Department of Labor from time to time.
Underwriter Exemption. An individual prohibited transaction exemption, issued by the U.S. Department of Labor, which is described in PTE 2000-58, 65 Fed. Reg. 67,765 (Nov. 13, 2000).
Underwriter Exemption. PTE 90-30 issued to Bear, Xxxxxxx & Co. Inc. and PTE 90-24 issued to Xxxxxx Xxxxxxx & Co. Incorporated, each as amended by XXX 00-00, XXX 0000-00 and PTE 2002-41 and as may be subsequently amended following the Closing Date.
Underwriter Exemption. Collectively, (a) Prohibited Transaction Exemption 2006-07, 71 Federal Register 32134 (June 2, 2006), granted to a predecessor of BMO Capital Markets Corp., (b) Prohibited Transaction Exemption PTE 2000-33, 65 Fed. Reg. 37171 (June 13, 2000), granted to KeyBanc Capital Markets Inc. (formerly known as MxXxxxxx Investments Inc.), and (c) prohibited transaction exemption granted to Deutsche Bank Securities Inc., Department Final Authorization Number 97 03E (December 9, 1996), each as amended by PTE 2013-08, 78 Fed. Reg. 41,090 (July 9, 2013).
Underwriter Exemption means the exemption granted to each Underwriter by the U.S. Department of Labor, as amended by Prohibited Transaction Exemption ("PTE") 97-34 and PTE 2000-58.
Underwriter Exemption. Prohibited Transaction Exemption 2002-41,67 Fed.Reg. 54487 (2002) (or any successor thereto), or any substantially similar administrative exemption granted by the U.S. Department of Labor. United States Person or U.S. Person: (i) A citizen or resident of the United States;
Underwriter Exemption. With respect to Xxxxxxx Lynch, Pierce, Xxxxxx & Xxxxx Incorporated, Prohibited Transaction Exemption 91-31, 58 Fed Reg. 28, 620 (May 14, 1993), as most recently amended by Prohibited Transaction Exemption 2013-08 (July 9, 2013) and as further amended by the Department of Labor from time to time.