Graham Lutz
Requirements to sell investments in other people's syndications?
19 October 2022 | 24 replies
(i) The associated person restricts his participation to transactions involving offers and sales of securities:(A) To a registered broker or dealer; a registered investment company (or registered separate account); an insurance company; a bank; a savings and loan association; a trust company or similar institution supervised by a state or federal banking authority; or a trust for which a bank, a savings and loan association, a trust company, or a registered investment adviser either is the trustee or is authorized in writing to make investment decisions; or(B) That are exempted by reason of section 3(a)(7), 3(a)(9) or 3(a)(10) of the Securities Act of 1933 from the registration provisions of that Act; or(C) That are made pursuant to a plan or agreement submitted for the vote or consent of the security holders who will receive securities of the issuer in connection with a reclassification of securities of the issuer, a merger or consolidation or a similar plan of acquisition involving an exchange of securities, or a transfer of assets of any other person to the issuer in exchange for securities of the issuer; or(D) That are made pursuant to a bonus, profit-sharing, pension, retirement, thrift, savings, incentive, stock purchase, stock ownership, stock appreciation, stock option, dividend reinvestment or similar plan for employees of an issuer or a subsidiary of the issuer;(ii) The associated person meets all of the following conditions:(A) The associated person primarily performs, or is intended primarily to perform at the end of the offering, substantial duties for or on behalf of the issuer otherwise than in connection with transactions in securities; and(B) The associated person was not a broker or dealer, or an associated person of a broker or dealer, within the preceding 12 months; and(C) The associated person does not participate in selling an offering of securities for any issuer more than once every 12 months other than in reliance on paragraph (a)(4)(i) or (iii) of this section, except that for securities issued pursuant to rule 415 under the Securities Act of 1933, the 12 months shall begin with the last sale of any securityincluded within one rule 415 registration.
Thomas Combs
Exit strategies for partnership dissolution
24 March 2021 | 7 replies
Certain action requires unanimous consent?
Alicia C.
Tenant from Hell
21 July 2016 | 34 replies
One party consent is needed, but even if its inadmissible or something we cannot use, he did lie to my husband and put words in my mouth once before.
Jeff Yang
starting my first land developing project
19 August 2013 | 24 replies
If nobody is opposed to the project this will likely be a consent item meaning the PC members just okay it without further discussion and the project moves onto the final hearing with our Board of County Commissioners.
Davido Davido
Seeking to use abandoned Tax Delinquent properties for privacy & tax avoidance
30 January 2017 | 41 replies
(WASTE) said in part, "Buyer shall not remover commercial timber without the written consent of seller."
Ed B.
CC&R's conflict with city setback rules-which takes precedence?
9 August 2015 | 8 replies
CC&Rs are placed on title as a restriction by a seller, developer, HOA, or by consenting owners of a subdivision or community.
Jason Dillard
Non-recourse Debt and Tax Shelter
17 July 2016 | 5 replies
A debt is not secured by your home if it is secured solely because of a lien on your general assets or if it is a security interest that attaches to the property without your consent (such as a mechanic's lien or judgment lien).
Adam Michael
Cozy.co Applicant Process & Apartment Showing
26 July 2019 | 19 replies
So you should not need a FCRA consent form.
Mark Forest
Does an LLC trully protect landlord?
23 November 2012 | 10 replies
I let them know that we can wait for all of the other cases before ours to be heard, or we can sign a consent judgment right now.
Beverly Mims
Qualifying New Tenants
13 September 2016 | 7 replies
Most will request a fax or email of the verification form that can be filled out, along with the proof of consent (signed rental application).