Sentences with phrase «regulation of securities»

In addition, he has served on the Executive Council of the Securities Law Committee of the Federal Bar Association, the Committee on Federal Regulation of Securities of the American Bar Association, and the Committee on Corporations, Partnerships and other Business Organizations of the D.C. Bar Association.

Member, New York State Bar Association Member, New York City Bar Association Member, FINRA Corporate Financing Rules, Hedge Funds, Investment Companies and Investment Advisers, and Trading and Markets Subcommittees, Federal Regulation of Securities Committee, and Member, Private Equity and Venture Capital Committee, Business Law Section, American Bar Association (ABA)

advising securities regulators and governments on regulation of securities markets, including legislative drafting

This concerted approach towards regulation of securities and market participants is guaranteed by a set of bilateral and multilaterals MoUs, including the IOSCO Multilateral Memorandum of Understanding, dated May 2002.

In New York, one of our partners is a member of the Federal Regulation of Securities Committee of the ABA's Business Law Section.

Additional special risks associated with international securities may include less rigorous regulation of securities markets, different accounting and disclosure standards, government interference, higher inflation, and social, economic, and political uncertainties.

The transaction fee is a fee collected by the United States Securities and Exchange Commission to recover the costs to the Government for the supervision and regulation of the securities markets and securities professionals.

Maloney Act of 1938: The act that added section 15A to the Securities Exchange Act of 1934, allowing for the establishment of registered securities associations to promote self - regulation of the securities industry, properly supervised by the government.

Ouisa Capital encourages FINRA to use its position in the regulation of securities to help pursue the increase of issuer thresholds under Regulation CF.. We encourage FINRA to raise with the SEC the possibility of increasing the issuer threshold on a twelve month pilot basis to evaluate whether the increase achieves the desired effect of increasing capital formation while protecting the investing public from unscrupulous issuers that could use Regulation CF for nefarious purposes.

The Committee was established under the Dodd - Frank Wall Street Reform and Consumer Protection Act to advise the Commission on regulatory priorities, regulation of securities products, trading strategies, fee structures, disclosure effectiveness, and initiatives to protect investors and promote investor confidence and the integrity of the U.S. securities markets.

«A federal capital markets regulatory framework would be applied consistently on a national basis and would not displace provincial securities commissions, which would still manage the day - to - day regulation of securities activities.»

Except as required under federal securities laws and the rules and regulations of the Securities and Exchange Commission, we will not undertake and specifically decline any obligation to publicly update or revise any forward - looking statements to reflect events or circumstances arising after the date of this press release, whether as a result of new information, future events or otherwise.

Officers, directors and greater than ten - percent shareholders are required by the regulations of the Securities Exchange Commission to furnish the Corporation with copies of all Section 16 (a) forms they file.

In this market, brokers do not have to worry about the regulations of the Securities and Exchange Commission, or the commodity and futures oversight boards.

(c) when an emergency exists as a result of which disposal by a Fund of securities owned is not reasonably practicable or it is not reasonably practicable for a Fund to fairly to determine the value of net assets, provided that applicable rules and regulations of the Securities and Exchange Commission (or any succeeding governmental authority) will govern as to whether the conditions prescribed in (b) or (c) exist; or

After due assessment of the suspicious activity, CVM may propose closing of the investigation or the formal accusation of the suspected person, based on concrete elements to identify that the conduct has connection with a violation of the rules and regulations of the securities market.

Not exact matches

We are now likely headed to two solitudes of securities regulation, with Quebec once again standing outside the Canadian system.

Important factors that could cause actual results to differ materially from those reflected in such forward - looking statements and that should be considered in evaluating our outlook include, but are not limited to, the following: 1) our ability to continue to grow our business and execute our growth strategy, including the timing, execution, and profitability of new and maturing programs; 2) our ability to perform our obligations under our new and maturing commercial, business aircraft, and military development programs, and the related recurring production; 3) our ability to accurately estimate and manage performance, cost, and revenue under our contracts, including our ability to achieve certain cost reductions with respect to the B787 program; 4) margin pressures and the potential for additional forward losses on new and maturing programs; 5) our ability to accommodate, and the cost of accommodating, announced increases in the build rates of certain aircraft; 6) the effect on aircraft demand and build rates of changing customer preferences for business aircraft, including the effect of global economic conditions on the business aircraft market and expanding conflicts or political unrest in the Middle East or Asia; 7) customer cancellations or deferrals as a result of global economic uncertainty or otherwise; 8) the effect of economic conditions in the industries and markets in which we operate in the U.S. and globally and any changes therein, including fluctuations in foreign currency exchange rates; 9) the success and timely execution of key milestones such as the receipt of necessary regulatory approvals, including our ability to obtain in a timely fashion any required regulatory or other third party approvals for the consummation of our announced acquisition of Asco, and customer adherence to their announced schedules; 10) our ability to successfully negotiate, or re-negotiate, future pricing under our supply agreements with Boeing and our other customers; 11) our ability to enter into profitable supply arrangements with additional customers; 12) the ability of all parties to satisfy their performance requirements under existing supply contracts with our two major customers, Boeing and Airbus, and other customers, and the risk of nonpayment by such customers; 13) any adverse impact on Boeing's and Airbus» production of aircraft resulting from cancellations, deferrals, or reduced orders by their customers or from labor disputes, domestic or international hostilities, or acts of terrorism; 14) any adverse impact on the demand for air travel or our operations from the outbreak of diseases or epidemic or pandemic outbreaks; 15) our ability to avoid or recover from cyber-based or other security attacks, information technology failures, or other disruptions; 16) returns on pension plan assets and the impact of future discount rate changes on pension obligations; 17) our ability to borrow additional funds or refinance debt, including our ability to obtain the debt to finance the purchase price for our announced acquisition of Asco on favorable terms or at all; 18) competition from commercial aerospace original equipment manufacturers and other aerostructures suppliers; 19) the effect of governmental laws, such as U.S. export control laws and U.S. and foreign anti-bribery laws such as the Foreign Corrupt Practices Act and the United Kingdom Bribery Act, and environmental laws and agency regulations, both in the U.S. and abroad; 20) the effect of changes in tax law, such as the effect of The Tax Cuts and Jobs Act (the «TCJA») that was enacted on December 22, 2017, and changes to the interpretations of or guidance related thereto, and the Company's ability to accurately calculate and estimate the effect of such changes; 21) any reduction in our credit ratings; 22) our dependence on our suppliers, as well as the cost and availability of raw materials and purchased components; 23) our ability to recruit and retain a critical mass of highly - skilled employees and our relationships with the unions representing many of our employees; 24) spending by the U.S. and other governments on defense; 25) the possibility that our cash flows and our credit facility may not be adequate for our additional capital needs or for payment of interest on, and principal of, our indebtedness; 26) our exposure under our revolving credit facility to higher interest payments should interest rates increase substantially; 27) the effectiveness of any interest rate hedging programs; 28) the effectiveness of our internal control over financial reporting; 29) the outcome or impact of ongoing or future litigation, claims, and regulatory actions; 30) exposure to potential product liability and warranty claims; 31) our ability to effectively assess, manage and integrate acquisitions that we pursue, including our ability to successfully integrate the Asco business and generate synergies and other cost savings; 32) our ability to consummate our announced acquisition of Asco in a timely matter while avoiding any unexpected costs, charges, expenses, adverse changes to business relationships and other business disruptions for ourselves and Asco as a result of the acquisition; 33) our ability to continue selling certain receivables through our supplier financing program; 34) the risks of doing business internationally, including fluctuations in foreign current exchange rates, impositions of tariffs or embargoes, compliance with foreign laws, and domestic and foreign government policies; and 35) our ability to complete the proposed accelerated stock repurchase plan, among other things.

«I wouldn't go into this industry now,» laments the founder of Caldwell Securities, citing shrinking margins and stifling regulation

While the concept isn't explicitly prohibited in Canada, current securities regulations render equity crowd funding too expensive and cumbersome to be feasible, and so the OSC is examining what kinds of exemptions might be necessary.

One of the provisions of the JOBS Act instructed the SEC to clarify Rule 506 of Regulation D to allow general solicitation, provided that issuers of the securities took «reasonable steps» to verifty that purchasers of the securities were accredited investors.

The numbers have nudged up from 15.9 % in 2013, when Catalyst Canada surveyed the number of women on Financial Post 500 boards, and new comply - or - explain regulations initiated by the Ontario Securities Commission will likely push the statistics higher now that companies are required to disclose female representation on boards and in senior management.

Certain matters discussed in this news release are forward - looking statements that involve a number of risks and uncertainties including, but not limited to, doubts about the Company's ability to continue as a going concern, the need to obtain additional funding, risks in product development plans and schedules, rapid technological change, changes and delays in product approval and introduction, customer acceptance of new products, the impact of competitive products and pricing, market acceptance, the lengthy sales cycle, proprietary rights of the Company and its competitors, risk of operations in Israel, government regulations, dependence on third parties to manufacture products, general economic conditions and other risk factors detailed in the Company's filings with the United States Securities and Exchange Commission.

«The rise in serious incidents involving animals in flight leads us to believe that the lack of regulation in both health and training screening for these animals is creating unsafe conditions across U.S. air travel,» said John Laughter, Delta's senior vice president for corporate safety, security and compliance.

Thus, the best and only way to raise significant capital from «silent» partners and multiple investors, is to create a private securities offering under the Securities Act, and more specifically Rules 504, 505, and 506 of Regsecurities offering under the Securities Act, and more specifically Rules 504, 505, and 506 of RegSecurities Act, and more specifically Rules 504, 505, and 506 of Regulation D.

This is a unique group of investors who are focused on building out bitcoin and blockchain technology, assisting startups and companies with developing in specific areas like compliance and regulation, payments, security, identity, smart contracts and more.

Corporate privacy and security specialists want to see how the EU regulators enforce and interpret provisions of the new regulation.

Perhaps more importantly, a growing list of countries — including Canada — are considering enacting regulations that would prevent businesses and organizations from storing their data abroad for security and privacy reasons.

Japanese government officials are drafting regulation that encompasses a tax on transactions and bars banks and securities firms from dealing with Bitcoin as part of their core business.

This communication includes several «non-GAAP» financial measures as defined under Regulation G of the U.S. Securities Exchange Act of 1934, as amended.

«You suddenly are introducing a uniform securities act with detailed regulations... that will encompass at least 50 or 60 per cent of the Canadian capital markets,» Russell said.

Indeed, just days before the U.S. startup visa was to be implemented last July, the Department of Homeland Security published a rule in the Federal Register, delaying the implementation until March 2018 and stating it intended to rescind the regulation altogether.

In just a few months, we have learned that Flynn lied to Mike Pence, Vice President - elect, about obtaining a security clearance for Flynn's son during the presidential transition; that during the same period, as President Obama was imposing sanctions on Russia for election meddling, Flynn communicated with the Russian ambassador about those sanctions, hinting that President Trump would take a softer line, and then lied to Pence about it (and stood by while Pence publicly repeated that lie); that Flynn was not truthful when questioned by the FBI about the same topic; and that Flynn spoke at a gala for RT, the Kremlin - backed propaganda network and received payments from RT, but dissembled about the source of the payments and seems to have failed to follow U.S. regulations about reporting them.

In its recently published rulemaking agenda, the SEC set a target date of October 2015 to adopt final rules regarding the offer and sale of securities through crowdfunding and small and additional issues exemptions under Regulation A +.

The challenge for token sale regulation comes down to uncertainty over how the definition of a security applies to the digital coins.

That's been a primary criticism of ICOs, but differences in regulation are also important factors for investors to consider, according to Steven Maijoor, the chair of the European Securities and Markets Authority.

Add to that a lack of regulation: After the passage of the JOBS Act in 2012, which aimed to make it easier for small businesses to raise capital, startups could take on many more investors before the Securities and Exchange Commission effectively forced them to go public.

But in the markets, the notion of what is public and what is private and what can and can not be shared is rooted in the legal constructs of the securities laws surrounding insider trading and Regulation FD.

As well, there's sales materials, cabinetry, displays, ventilation, vaults, point - of - sale devices, security systems and everything else it takes to comply with regulations on medical marijuana dispensaries or recreational use shops.

Olympus Corp ended up 6.6 percent to 1,985 yen, reaching the 2,000 - line at one point for the first time since October 2011, after UBS Securities started its coverage with a «buy» rating and a target price of 3,000 yen as the company on Monday submitted to the Tokyo Stock Exchange a written affirmation on the internal control system as stipulated in the securities listing reSecurities started its coverage with a «buy» rating and a target price of 3,000 yen as the company on Monday submitted to the Tokyo Stock Exchange a written affirmation on the internal control system as stipulated in the securities listing resecurities listing regulations.

«The rise in serious incidents involving animals in flight leads us to believe that the lack of regulation in both health and training screening for these animals is creating unsafe conditions across U.S. air travel,» John Laughter, Delta's senior vice president for corporate safety, security and compliance, said.

In 2002, while still president and CEO of the IDA, Oliver gave a speech to the Winnipeg Chamber of Commerce in which he praised the American Sarbanes - Oxley Act (commonly referred to as SOX), which put in place a sweeping set of regulations for securities markets in the U.S. SOX came in the wake of several corporate malfeasance disasters, including the demise of Enron.

Today marks an historic milestone in the regulation of how entrepreneurs raise money to launch and grow their businesses, but it's also undoubtedly the first step in what will be a years - long process of this new class of securities being born, wrangled and used effectively.

As for the Canadian companies operating primarily on the TSX, however, Oliver advocated for a set of «Made - in - Canada» improvements to the country's securities regime in order to avoid burdening small and medium companies with «excessive regulation.»

IOSCO's membership, meanwhile, accounts for the regulation of about 95 % of the world's securities markets, according to its website.

On April 8, 2016, the Department of Labor (Department) published a final regulation (Fiduciary Rule or Rule) defining who is a «fiduciary» of an employee benefit plan under section 3 (21)(A)(ii) of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) as a result of giving investment advice to a plan or its participants or beneficiaries.

For questions pertaining to the fiduciary regulation, contact Jeffrey Turner, Office of Regulations and Interpretations, Employee Benefits Security Administration (EBSA), [phone].

When advising clients, designing products and engaging in transactions, market participants and their advisers should thoughtfully consider our laws, regulations and guidance, as well as our principles - based securities law framework, which has served us well in the face of new developments for more than 80 years.

Each member of the Audit Committee shall meet the independence standards and expertise requirements of the New York Stock Exchange corporate governance listing standards, the Securities Exchange Act of 1934 and rules promulgated thereunder, the Federal Deposit Insurance Corporation Improvement Act of 1991 (FDICIA), and other applicable laws and regulations, in each case, as of the Firm's most recent annual meeting.

To learn more about these markets and their regulation, please read the «Additional Discussion of Cryptocurrencies, ICOs and Securities Regulation» sectregulation, please read the «Additional Discussion of Cryptocurrencies, ICOs and Securities Regulation» sectRegulation» section below.