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of the United States or of a state, or to any <br /> person a principal part of whose business <br /> consists of buying securities . <br /> Arkansas 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 <br /> Arkansas and effects transactions in Arkansas <br /> exclusively with or through such persons or <br /> institutions. <br /> California To any broker-dealer, bank, savings and loan <br /> association, trust company, insurance company, <br /> investment company registered under the <br /> Investment Company Act of 1940, pension or <br /> profit-sharing trust (other than an individual <br /> retirement account) ; any organization <br /> described in section 501 (c) (3) of the Internal <br /> Revenue Code, as amended December 29, 1981, <br /> which has total assets (including endowment, <br /> annuity and life income funds) of not less <br /> than $5, 000, 000 according to its most recent <br /> audited financial statement; any corporation <br /> which has a net worth on a consolidated basis <br /> according to its most recent audited financial <br /> statement of not less than $14, 000, 000; any <br /> wholly-owned subsidiary of any of the <br /> foregoing institutional investors; or to the <br /> federal government, any agency or <br /> instrumentality of the federal government, any <br /> corporation wholly owned by the federal <br /> government, any state, any city, city and <br /> county, or county, or any agency or <br /> instrumentality of a state, city, city and <br /> county, or county, or any state university or <br /> state college, and any retirement system for <br /> the benefit of employees of any of the <br /> foregoing; provided that the person making the <br /> sale, if not registered, is registered as a <br /> broker or dealer under the Securities Exchange <br /> Act of 1934, has not previously had any <br /> certificate denied or revoked under the <br /> California Corporate Securities Law of 1968 or <br /> any predecessor statute, has no place of <br /> business in California and does not direct <br /> offers to sell or buy into California in any <br /> 3 <br />