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development company as defined in the <br /> Investment Company Act of 1940, employee <br /> pension, profit-sharing or benefit plan <br /> meeting certain conditions, small business <br /> investment company licensed by the Small <br /> Business Administration, any other financial <br /> or institutional investor as the Director of <br /> the Securities Division by rule or order <br /> designates including, but not limited to, any <br /> entity, other than a natural person, which is <br /> directly engaged in the business of, and <br /> derives at least 80% of its annual gross <br /> income from, investing, purchasing, selling or <br /> trading in securities of more than one issuer <br /> and not of its own issue, and that has gross <br /> assets in excess of $5, 000, 000 at the end of <br /> its latest fiscal year, any entity organized <br /> and operated not for private profit as <br /> described in section 501 (c) (3) of the Internal <br /> Revenue Code with total assets in excess of <br /> $5, 000, 000, any state, political subdivision <br /> of a state or any agency or corporate or other <br /> instrumentality of a state or a political <br /> subdivision of a state, whether the purchaser <br /> is acting for itself or others in a fiduciary <br /> capacity, or to any broker-dealer, provided <br /> that the person making the sale, if not <br /> licensed, is registered as a broker or dealer <br /> under the Securities Exchange Act of 1934, has <br /> no place of business in New Mexico and effects <br /> transactions in New Mexico exclusively with or <br /> through such persons or institutions . <br /> North Carolina. To any bank, savings institution, trust company, <br /> insurance company, investment company as <br /> defined in the Investment Company Act of 1940, <br /> pension or profit-sharing trust, or other <br /> financial institution or institutional buyer, <br /> or to any dealer, whether the purchaser is <br /> acting for itself or as trustee, provided that <br /> the person making the sale, if not registered, <br /> has no place of business in North Carolina and <br /> effects transactions in North Carolina <br /> exclusively with or through such persons or <br /> institutions. A person registered as a dealer <br /> in North Carolina may sell to any corporation <br /> which has a net worth in excess of $1, 000, 000 <br /> as determined by generally accepted accounting <br /> principles in addition to the foregoing <br /> persons and institutions. <br /> North Dakota. . . To any bank, savings institution, trust company, <br /> insurance company, investment company as <br /> 11 <br />