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Part 1
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Vol. 2- City of Santa Ana Financing Authority (Police Administration and Holding Facility)
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Part 1
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B . <br /> Our survey indicates that in New York certain action must be <br /> taken to establish an exempt status for the Bonds for sale to the <br /> public by dealers or brokers registered or licensed therein. Such <br /> action is being taken and, before any of the Bonds are sold in this <br /> jurisdiction, inquiry should be made of Smith Barney Shearson Inc . <br /> as to whether the action required to be taken has been completed. <br /> C. <br /> No action is being taken to qualify the Bonds for sale to the <br /> public in the following jurisdictions : <br /> Minnesota New Hampshire <br /> PART II <br /> EXEMPT TRANSACTIONS <br /> Our survey indicates that the Bonds may be sold in the <br /> following jurisdictions to the institutions or persons noted below <br /> without registration or other filings therein relating to the Bonds <br /> and without the sellers thereof being required to be registered or <br /> licensed as dealers or brokers therein, except as otherwise <br /> indicated: <br /> Alabama To any bank, savings institution, credit union, <br /> trust company, insurance company, investment <br /> company as defined in the Investment Company <br /> Act of 1940, pension or profit-sharing trust, <br /> or other financial institution or <br /> institutional buyer, or to any dealer, whether <br /> the purchaser is acting for itself or in some <br /> fiduciary capacity. <br /> Alaska 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 broker-dealer, whether the purchaser <br /> is acting for itself or as trustee, provided <br /> that the person making the sale, if not <br /> registered, has no place of business in Alaska <br /> and effects transactions in Alaska exclusively <br /> with or through such persons or institutions. <br /> Arizona To any bank, savings institution, insurance <br /> company, dealer, any agency or instrumentality <br /> 2 <br />
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