Sentences with phrase «securities board rules»

The TSC told Bitconnect to immediately halt all investment programs that it is operating, as it was found that all the company's investments are securities which were not registered as dictated by the Texas Securities Act and State Securities Board Rules and Regulations.

«In addition to violating registration requirements, USI - Tech and the sales agents are violating State Securities Board rules by failing to disclose information investors would need to make an informed decision about whether to invest,» the agency added.

Not exact matches

Check Transportation Security Administration rules on which foods you can bring on board.

Last December, the Ontario Securities Commission introduced new rules that requires firms to disclose the percentage of women on their boards and in executive positions.

Ever since the Ontario Securities Commission implemented a rule last year that TSX - listed companies must address gender diversity on their boards or explain why they haven't, corporate Canada has been scrambling to hire female directors.

According to people familiar with the company, the board concluded that Shkreli had committed stock - trading irregularities and other violations of securities rules.

All stakeholders of the startup ecosystem â $ «entrepreneurs, investor and even lawyers - are welcoming the Securities and Exchange Board of India's decision to relax rules for angel investments in startups.

The Securities and Exchange Commission will meet publicaly Wednesday afternoon for its first board discussions on an investment advice rule for brokers.

It has been argued that Canada's securities rules make it too difficult for boards to resist offers by foreign (and domestic) investors that may not be in a company's best long - term interest.

For purposes of this Charter, an «independent director» means a director who (1) is «independent» in accordance with the provisions of Rule 10c - 1 (b)(i) promulgated under the Securities Exchange Act of 1934, as amended (the «Exchange Act»), and (2) meets the NASDAQ Stock Market, Inc. definition of «independent director» as determined by the Board.

The purpose of the Compensation Committee (the «Committee») of the Board of Directors (the «Board») of SkyWest, Inc. (the «Company») is to oversee the administration of the Company's compensation programs and prepare any report on executive compensation required by the rules and regulations of the U.S. Securities and Exchange Commission (the «SEC»).

The Municipal Securities Rulemaking Board (MSRB) writes investor protection rules and other rules regulating broker - dealers and banks in the United States municipal securities market, including tax - exempt and taxable municipal bonds, municipal notes, and other securities issued by states, cities, and counties or their agencies to help finance public projects or for other public policySecurities Rulemaking Board (MSRB) writes investor protection rules and other rules regulating broker - dealers and banks in the United States municipal securities market, including tax - exempt and taxable municipal bonds, municipal notes, and other securities issued by states, cities, and counties or their agencies to help finance public projects or for other public policysecurities market, including tax - exempt and taxable municipal bonds, municipal notes, and other securities issued by states, cities, and counties or their agencies to help finance public projects or for other public policysecurities issued by states, cities, and counties or their agencies to help finance public projects or for other public policy purposes.

The Board has concluded that each member of the Audit and Risk Committee is «financially literate» as defined under National Instrument 52 - 110 — Audit Committees and as required under NYSE rules and each is an «audit committee financial expert» under the regulations promulgated by the Securities and Exchange Commission.

Again, why the posts about all turbans needing to be checked, seems to me that Sikhs have been following TSA rules and can refuse to take the turban off and still be allowed to board the plane if no reasonable security threat is detected since it is only a reccomendation.

«Circumvention of the rule through indirect contributions is prohibited,» said Lynnette Kelley, executive director of the Municipal Securities Rulemaking Board.

A rule of the federal Municipal Securities Rulemaking Board (MSRB) prohibits bond work from going to financial firms that make campaign contributions to public officials who control bond decisions.

Comptroller hopeful and City Councilwoman Melinda Katz (D - Forest Hills) Monday called on the U.S. Securities and Exchange Commission to ratify proposed rule changes that would allow shareholders to nominate directors on corporate boards — a change she says would have tremendous impact on city pension funds.

The state of New Jersey's Board of Public Utilities recently adopted stringent rules that would require utilities to develop cyber-response units within their companies and report regularly on any potential security breaches.

The move, enabled under Rule 10b5 - 1 of the Securities and Exchange Act of 1934, is generally a sign that a company's board of directors believes its shares are undervalued.

FINRA Board also filed with SEC proposed amendments to its TRACE rules to expand the definition of Agency Debt Security to address a new issuance structure by government - sponsored enterprises

«The money market fund shall limit its portfolio investments to those United States dollar - denominated securities that the fund's board of directors determines present minimal credit risks,» the rule says.

New rules go into effect on May 14, 2018 that will require brokerage firms to disclose the mark - up or mark - down on trades for corporate, agency, and municipal bonds on trade confirmations for retail clients.1 These rules, which have been nicknamed «the mark - up rule,» were proposed by FINRA and the Municipal Securities Rulemaking Board (MSRB) and approved by the SEC in November 2016.

The fund's name has been changed to SBI Small Cap Fund as per the new rules introduced by SEBI (Securities and Exchange Board of India).

By KARA SCANNELL and DAN FITZPATRICK In a major win for activist investors, the Securities and Exchange Commission plans to toss out decades - old rules in a move that will give activists significantly more power to determine who sits on corporate boards.

Under guidelines adopted by the Trust's Board, a Fund's Adviser may determine that particular Rule 144A securities, and commercial paper issued in reliance on the private placement exemption from registration afforded by Section 4 (a)(2) of the Securities Act, are liquid even though they are not rsecurities, and commercial paper issued in reliance on the private placement exemption from registration afforded by Section 4 (a)(2) of the Securities Act, are liquid even though they are not rSecurities Act, are liquid even though they are not registered.

Any agreement related to a Plan will be in writing and provide that: (a) it may be terminated by the Trust or the Funds at any time upon sixty days written notice, without the payment of any penalty, by vote of a majority of the respective Rule 12b - 1 Trustees, or by vote of a majority of the outstanding voting securities of the Trust or the Funds; (b) it will automatically terminate in the event of its assignment (as defined in the 1940 Act); and (c) it will continue in effect for a period of more than one year from the date of its execution or adoption only so long as such continuance is specifically approved at least annually by a majority of the Board and a majority of the Rule 12b - 1 Trustees by votes cast in person at a meeting called for the purpose of voting on such agreement.

The Trust, the Adviser and the Distributor have each adopted codes of ethics (each a «Code») under Rule 17j - 1 under the 1940 Act that governs the personal securities transactions of their board members, officers and employees who may have access to current trading information of the Trust.

Notwithstanding the Board's declaration of a record date, Aspen has been advised by the Financial Industry Regulatory Authority (FINRA) of the application of Nasdaq Rule 11140 (b)(2) which states: «In respect to cash dividends or distributions, stock dividends and / or splits, and the distribution of warrants, which are 25 % or greater of the value of the subject security, the ex-dividend date shall be the first business day following the payable date.»

The rules surrounding premium check - in, fast - track security, lounge access and priority boarding all remain the same... thankfully!

As a rule of thumb, TSA doesn't care that you go through the wrong security checkpoint — as long as you have a valid boarding pass for day of travel and a matching ID, you can enter any.

Mr. Pinegar advises executive management, boards of directors and board committees regarding disclosure compliance under federal securities laws as well as the changing corporate governance environment and current and prospective governance requirements and attitudes (including under Sarbanes - Oxley, SEC rules, NYSE / NASDAQ rules and state law).

Securities regulators in Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Ontario, Quebec, and Saskatchewan did adopt the rules requiring companies to disclose, on an annual basis, information on policies relating to the identification and nomination of women directors, targets for women on boards and in executive officer positions as well as the number and percentage of women on the issuer's board of directors and in executive officer positions.

More specifically, it covers tougher rules on data, data protection, cyber security, how to influence the board and create a compliance culture, Brexit and preparing for the unexpected, implementing an effective anti-corruption programme, the risks to business from modern slavery and human trafficking.

Last week, the Canadian Securities Administrators announced new rules requiring Canadian public corporations to disclose policies and procedures put in place to get more women on their boards of directors and into senior management positions, or else explain why the company lacks such policies and procedures....

While UBS did consult with outside legal counsel regarding board approval of executive bonuses, it was told that while s. 3.15 of National Policy 58 - 201, which deals with corporate governance guidelines, says a board should appoint a compensation committee entirely of independent directors, it is «a guideline only» and not a requirement or pursuant to securities law or TSX rules.

Ajay Tyagi, the current chairman of Securities and Exchange Board of India (SEBI) recently revealed that the regulation rules for cryptocurrencies will be out soon.

The new backpack rule is a mandate from the Broward County School Board as officials try to address some security concerns on the Parkland high school campus following the Feb. 14 massacre that left 17 people dead.

Attorneys for the school board argued that the release of the video could compromise the school's security system, but Levenson ruled that «the potential harm to the current security system, at best, is outweighed by the strong public interest in disclosure.»

As part of the industry security reorganizations, exchanges will now be required to follow four main rules so as to operate above board.

The Chicago Board Options Exchange (CBOE) filed several proposed rule changes with the U.S. Securities and Exchange Commission (SEC) that would allow the exchange to list six Bitcoin ETFs on its trading platform.

Led and implemented major upgrades to all components of existing infrastructure; virtualizing physical servers; installing new Server 2012 VM's; migrating services from Server 2003 to Server 2012, adding a WAN link to our secondary site, moved from disparate storage to Dell EqualLogics; implemented replication of storage to secondary site for Disaster Recovery plan; migrated from Exchange 2003 to Office 365; migrated from Windows XP to Windows 8.1, increased security posture across the board by implementing scheduled password changes, hardened firewall rules, regular security patch installations, updating antivirus clients, adding IDS component to clients; documented everything and provided regular updates to business owner.

• Highly skilled in making passengers comfortable in their seats by providing them with a pleasant welcome • Well - versed in dealing with passengers» inquiries about flight departures and arrivals according to specified rules and regulations of the airline • Hands - on experience in determining luggage restrictions and ensuring that passengers are made aware of them • Deeply familiar with providing assistance to passengers with special needs, children and the elderly, by physically helping them board and disembark flights • Proficient in demonstrating the use of emergency equipment and ensuring that all passengers are safely buckled into their seats • Adept at handling mid-air emergencies by employing CPR and First Aid, and providing support during adverse situations • Track record of efficiently ensuring that appropriate supplies are available before a plane tales off • Proven ability to handle cancellation of tickets and reissuing tickets for different flights as per the rules of the airline • Demonstrated expertise in ensuring the security of the aircraft and passengers by keeping an eye out for inappropriate behavior or untoward circumstances