Exempt Transaction

Definition

Exempt Transaction. A securities transaction for which there is no requirement to register the transaction with a regulatory agency

Example

Examples include non-issuer transactions in outstanding securities, other isolated non-issuer transactions, certain unsolicited / de minimis transactions, fiduciary transactions, transactions with financial institutions, private placement transactions that meet certain conditions, and so forth.

See Also

• http://www.investopedia.com/terms/e/exempttransaction.asp

Disclaimer

This entry annotates a FIBO Ontology Class. FIBO is a trademark and the FIBO Ontology is copyright of the EDM Council, released under the MIT Open Source License. There is no guarantee that the content of this page will remain aligned with, or correctly interprets, the concepts covered by the FIBO ontology.