Sentences with phrase «states securities act»

The securities have not been and will not be registered under the United States Securities Act of 1933, as amended (the «1933 Act»), or any state securities laws and may not be offered or sold within the United States or to, or for the account or benefit of U.S. persons (as defined in Regulation S under the 1933 Act) absent such registration or an applicable exemption from such registration requirements.

Shares in The Scottish Oriental Smaller Companies Trust PLC have not been and will not be registered under the United States Securities Act 1933 (as amended).

As such, most 506 (b) offerings are only sold to accredited investors (even though the Rule allows for the sale of up to 35 non-accredited investors), as the sale to any unaccredited investors requires significantly heightened disclosure to such investors, which can be costly and burdensome to provide, and may increase the exposure of an issuer to liability under federal and state securities acts.

«Other stand - out recommendations include a bill designed to address the exploitation of our tax laws and exploitation of Nigerians by multinational firms by Femi Obagun, and a brief policy for more stringent laws against rapists, a Workers Protection Act, an Alternate Financing to Economic Growth Act, a Policing and State Security Act, and a Government Transparency and Anti Corruption Act.

Not exact matches

The class action, filed in United States District Court, Southern District of New York, and docketed under 18 - cv - 02213, is on behalf of a class consisting of investors who purchased or otherwise acquired BRF American Depositary Receipts («ADRs») between April 4, 2013 and March 2, 2018, both dates inclusive (the «Class Period»), seeking to recover damages caused by Defendants» violations of the federal securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 (the «Exchange Act») and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 (the «Exchange Act») and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top Securities Exchange Act of 1934 (the «Exchange Act») and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top officials.

The class action, filed in United States District Court, for the District of Illinois, Eastern Division, is on behalf of a class consisting of investors who purchased or otherwise acquired Akorn's securities between March 1, 2017 through February 26, 2018, both dates inclusive (the «Class Period»), seeking to recover damages caused by defendants» violations of the federal securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top securities between March 1, 2017 through February 26, 2018, both dates inclusive (the «Class Period»), seeking to recover damages caused by defendants» violations of the federal securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top Securities Exchange Act of 1934 and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top officials.

DONALD TRUMP, President of the United States; U.S. DEPARTMENT OF HOMELAND SECURITY («DHS»); U.S. CUSTOMS AND BORDER PROTECTION («CBP»); JOHN KELLY, Secretary of DHS; KEVIN K. MCALEENAN, Acting Commissioner of CBP; JAMES T. MADDEN, New York Field Director, CBP,,

Also, the U.S. Department of Homeland Security is implementing phase four of the REAL ID Act this month, which sets new standards for state issued driver's licenses and identification cards.

Currently, registered investment advisors regulated by the Securities and Exchange Commission or state securities regulators are already held to a fiduciary standard of conduct under which they must act in their clients» best Securities and Exchange Commission or state securities regulators are already held to a fiduciary standard of conduct under which they must act in their clients» best securities regulators are already held to a fiduciary standard of conduct under which they must act in their clients» best interests.

Earlier this week, Georgia Representative Hank Johnson introduced two bills that he believes will help improve voting security a few years down the road: the Election Infrastructure and Security Promotion Act, which, if passed, would classify voting systems as critical infrastructure to be protected by the Department of Homeland Security; and the Election Integrity Act, which will map out a planned response for voting system failures and control the types of voting machines states are allowedsecurity a few years down the road: the Election Infrastructure and Security Promotion Act, which, if passed, would classify voting systems as critical infrastructure to be protected by the Department of Homeland Security; and the Election Integrity Act, which will map out a planned response for voting system failures and control the types of voting machines states are allowedSecurity Promotion Act, which, if passed, would classify voting systems as critical infrastructure to be protected by the Department of Homeland Security; and the Election Integrity Act, which will map out a planned response for voting system failures and control the types of voting machines states are allowedSecurity; and the Election Integrity Act, which will map out a planned response for voting system failures and control the types of voting machines states are allowed to buy.

Arguing that the United States needed to tighten national security measures, Trump's attempt to limit travel was one of his first major acts in office.

The notes to be offered have not been, and will not be, registered under the Securities Act of 1933 and may not be offered or sold in the United States absent registration or an applicable exemption from the registration requirements of the Securities Act of 1933.

These risks and uncertainties include: Gilead's ability to achieve its anticipated full year 2018 financial results; Gilead's ability to sustain growth in revenues for its antiviral and other programs; the risk that private and public payers may be reluctant to provide, or continue to provide, coverage or reimbursement for new products, including Vosevi, Yescarta, Epclusa, Harvoni, Genvoya, Odefsey, Descovy, Biktarvy and Vemlidy ®; austerity measures in European countries that may increase the amount of discount required on Gilead's products; an increase in discounts, chargebacks and rebates due to ongoing contracts and future negotiations with commercial and government payers; a larger than anticipated shift in payer mix to more highly discounted payer segments and geographic regions and decreases in treatment duration; availability of funding for state AIDS Drug Assistance Programs (ADAPs); continued fluctuations in ADAP purchases driven by federal and state grant cycles which may not mirror patient demand and may cause fluctuations in Gilead's earnings; market share and price erosion caused by the introduction of generic versions of Viread and Truvada, an uncertain global macroeconomic environment; and potential amendments to the Affordable Care Act or other government action that could have the effect of lowering prices or reducing the number of insured patients; the possibility of unfavorable results from clinical trials involving investigational compounds; Gilead's ability to initiate clinical trials in its currently anticipated timeframes; the levels of inventory held by wholesalers and retailers which may cause fluctuations in Gilead's earnings; Kite's ability to develop and commercialize cell therapies utilizing the zinc finger nuclease technology platform and realize the benefits of the Sangamo partnership; Gilead's ability to submit new drug applications for new product candidates in the timelines currently anticipated; Gilead's ability to receive regulatory approvals in a timely manner or at all, for new and current products, including Biktarvy; Gilead's ability to successfully commercialize its products, including Biktarvy; the risk that physicians and patients may not see advantages of these products over other therapies and may therefore be reluctant to prescribe the products; Gilead's ability to successfully develop its hematology / oncology and inflammation / respiratory programs; safety and efficacy data from clinical studies may not warrant further development of Gilead's product candidates, including GS - 9620 and Yescarta in combination with Pfizer's utomilumab; Gilead's ability to pay dividends or complete its share repurchase program due to changes in its stock price, corporate or other market conditions; fluctuations in the foreign exchange rate of the U.S. dollar that may cause an unfavorable foreign currency exchange impact on Gilead's future revenues and pre-tax earnings; and other risks identified from time to time in Gilead's reports filed with the U.S. Securities and Exchange Commission (the SEC).

The Notes will not be registered under the Securities Act of 1933, as amended (the «Securities Act «-RRB-, or any state securities laws, and may not be offered or sold in the United States absent registration or an applicable exemption from, or a transaction not subject to, the registration requirements of the Securities Act and applicable state securiSecurities Act of 1933, as amended (the «Securities Act «-RRB-, or any state securities laws, and may not be offered or sold in the United States absent registration or an applicable exemption from, or a transaction not subject to, the registration requirements of the Securities Act and applicable state securiSecurities Act «-RRB-, or any state securities laws, and may not be offered or sold in the United States absent registration or an applicable exemption from, or a transaction not subject to, the registration requirements of the Securities Act and applicable state securisecurities laws, and may not be offered or sold in the United States absent registration or an applicable exemption from, or a transaction not subject to, the registration requirements of the Securities Act and applicable state securiSecurities Act and applicable state securitiessecurities laws.

Any securities described herein may not be registered under the Securities Act or with any securities regulatory authority of any state or other jurisdiction and may not be offered, sold, pledged or otherwise transferred except to persons outside the U.S. in accordance with Regulation S under the Securities Act pursuant to the terms of such ssecurities described herein may not be registered under the Securities Act or with any securities regulatory authority of any state or other jurisdiction and may not be offered, sold, pledged or otherwise transferred except to persons outside the U.S. in accordance with Regulation S under the Securities Act pursuant to the terms of such sSecurities Act or with any securities regulatory authority of any state or other jurisdiction and may not be offered, sold, pledged or otherwise transferred except to persons outside the U.S. in accordance with Regulation S under the Securities Act pursuant to the terms of such ssecurities regulatory authority of any state or other jurisdiction and may not be offered, sold, pledged or otherwise transferred except to persons outside the U.S. in accordance with Regulation S under the Securities Act pursuant to the terms of such sSecurities Act pursuant to the terms of such securitiessecurities.

The United States Securities and Exchange Commission (SEC) has adopted rules, mandated by the Dodd - Frank Act, requiring resource companies to disclose certain payments made to the U.S. government or foreign governments (including subnational governments).

Guggenheim Securities, LLC is a broker dealer registered with the United States Securities and Exchange Commission and is acting as financial advisor to Pfizer and no one else in connection with the proposed transaction.

Trump's White House cited Section 232 of the Trade Expansion Act of 1962, a provision that gives the secretary of commerce the authority to investigate and determine the impacts of any import on the national security of the United States — and the president the power to adjust tariffs accordingly.

In all, the TSSB said that R2B committed fraud, failed to disclose the basis for how it calculates the value of the coins it is issuing, and furthermore, must immediately cease and desist from offering securities in the state pursuant to the Texas Secursecurities in the state pursuant to the Texas SecuritiesSecurities Act.

The Notes have not been registered under the Securities Act of 1933, as amended, or any state securSecurities Act of 1933, as amended, or any state securitiessecurities law.

Unless so registered, the Notes may not be offered or sold in the United States, except pursuant to an exemption from the registration requirements of the Securities Act and applicable state securiSecurities Act and applicable state securitiessecurities laws.

At issue in the case is whether SLUSA divests state courts of jurisdiction over class actions asserting claims arising under the Securities Act of 1933 (e.g., claims alleging a material misstatement in a registration statement).

DOL released on Nov. 16 a proposed rule and interpretive bulletin to help guide states in developing state - run retirement plans that don't run afoul of the Employee Retirement Income Security Act.

Complying with a directive from the White House, the Department of Labor released last Nov. 16 a proposed rule and interpretive bulletin to help guide states in developing state - run retirement plans that don't run afoul of the Employee Retirement Income Security Act.

Bartz argued that the Employee Retirement Income Security Act would now pre-empt state law under the rule and that the rule improperly created a private right of action that could set up class - action lawsuits against insurance companies and agents.

The two lawmakers state that they specifically want to see correspondence regarding the department's consultation with SEC «as it worked to introduce a new proposal to redefine the fiduciary standard» under the Employee Retirement Income Security Act.

The Debentures have not been and will not be registered under the U.S. Securities Act of 1933 (the «U.S. Securities Act»), and may not be offered or sold in the United States or to, or for the account or benefit of U.S. persons (as defined in Regulation S under the U.S. Securities Act), absent registration or an applicable exemption from registration requirements.

In re HP Securities Litigation consists of two consolidated putative class actions filed on November 26 and 30, 2012 in the United States District Court for the Northern District of California alleging, among other things, that from August 19, 2011 to November 20, 2012, the defendants violated Sections 10 (b) and 20 (a) of the Exchange Act by concealing material information and making false statements related to Parent's acquisition of Autonomy and the financial performance of Parent's enterprise services business.

This press release does not constitute or form a part of any offer or solicitation to purchase or subscribe for securities in the United States, and interests in the Fund will not be offered or sold in the United States or to, or for the account or benefit of, any U.S. person (as such term is defined in Regulation S under the U.S. Securities Actsecurities in the United States, and interests in the Fund will not be offered or sold in the United States or to, or for the account or benefit of, any U.S. person (as such term is defined in Regulation S under the U.S. Securities ActSecurities Act of 1933).

The Rollovers for Business Start - ups structure has been around since 1974 when the United States government passed the Employee Retirement Income Securities Act.

The class action, filed in United States District Court, for the Central District of California, and docketed under 17 - cv - 09157, is on behalf of a class consisting of investors who purchased or otherwise acquired Crypto securities, seeking to recover compensable damages caused by defendants» violations of the Securities Exchange Acsecurities, seeking to recover compensable damages caused by defendants» violations of the Securities Exchange AcSecurities Exchange Act of 1934.

The class action, filed in United States District Court, Southern District of New York, and docketed under 17 - cv - 09903, is on behalf of a class consisting of investors who purchased or otherwise acquired Qudian's American Depositary Receipts («ADRs») pursuant and / or traceable to Qudian's false and misleading Registration Statement and Prospectus, issued in connection with the Company's initial public offering on or about October 18, 2017 (the «IPO» or the «Offering»), seeking to recover damages caused by Defendants» violations of the Securities Act of 1933 (the «Securities Act»).

And the second, to which the SEC made reference in its DAO paper as well, is Section 5 of the Securities Act, which states

During the struggle over the Wall Street Reform act, consumer groups and state securities regulators pressed Congress to extend the fiduciary rule to everyone who gives investment advice.

Note that if this interpretation is adopted, some state laws cast a much wider net to penalize participants than Section 5 of the Securities Act of 1933 does.

As with the proposals in other states, the Texas rules rely on the intrastate offering exemption set forth in Section 3 (a)(11) of the Securities Act.

Under the SEC, the security is exempt under section 3 of the SECURITIES ACT OF 1933 from all requirements of the act, with the exception of fraud, which is stated in section 17 of the aACT OF 1933 from all requirements of the act, with the exception of fraud, which is stated in section 17 of the aact, with the exception of fraud, which is stated in section 17 of the actact.

The Cambria ETF funds («Cambria Funds») are series of the Cambria ETF Trust («Trust»), an investment company registered with the United States Securities and Exchange Commission («SEC») under the Investment Company Act of 1940, as amended.

(1) engage in the «Geographic Area» (as defined below) as an employee, agent, consultant, advisor, independent contractor, proprietor, partner, officer, director, or otherwise of a Competing Business (as defined below); (2) have any ownership interest (except for passive ownership of one percent (1 %) or less in any entity whose securities have been registered under the Securities Act of 1933 or Section 12 of the Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competingsecurities have been registered under the Securities Act of 1933 or Section 12 of the Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a CompetingSecurities Act of 1933 or Section 12 of the Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a CompetingSecurities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competingsecurities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing Business.

State media and China's securities regulator have warned investors not to act recklessly.

Congress must act by Sept. 29 to increase the United States» $ 19.9 trillion debt limit, in order to permit the government to continue borrowing money to pay bills like Social Security and interest.

The class action, filed in United States District Court, for the Southern District of New York, and docketed under 18 - cv - 00646, is on behalf of a class consisting of investors who purchased or otherwise acquired Xunlei securities, seeking to recover compensable damages caused by defendants» violations of the Securities Exchange Acsecurities, seeking to recover compensable damages caused by defendants» violations of the Securities Exchange AcSecurities Exchange Act of 1934.

Unless so registered, the notes may not be offered or sold in the United States, except pursuant to an exemption from the registration requirements of the Securities Act and applicable state securiSecurities Act and applicable state securitiessecurities laws.

The 2017 State of Regulation Crowdfunding: US Securities - based Crowdfunding under Title III of the JOBS Act

SANTA MONICA, CALIF., Jan. 29, 2015 — StartEngine Capital LLC, a wholly - owned subsidiary of StartEngine Crowdfunding, Inc., an industry - leading equity crowdfunding platform, has filed with the United States Securities and Exchange Commission (SEC) to register as a Funding Portal under Title III of the Jumpstart Our Business Startups Act of 2012 enacting equity crowdfunding.

Title II of DQSA, the Drug Supply Chain Security Act, outlines critical steps to build an electronic, interoperable system to identify and trace certain prescription drugs as they are distributed in the United States.

The United States took a significant step toward becoming a national security state with the passage of the National Security Act security state with the passage of the National Security Act Security Act of 1947.

An Arabian Proverb states that «The worst of all disasters is the One that makes laugh... admit many might have laughed out first out of disbelieve that such kids is said to have pulled such unbelievable act to such A Country with such tight Security... then again have laughed in disbelieve of what might happen as a reaction for that pulled act which serves no Arabian nor a Muslim country but rather it served those who want certain accounts or references to burn down or to shake the trade for certain immediate gains or for gains that might result out of the reaction that will follow...

The securities offered in the private placement have not been registered under the Securities Act, or any state secursecurities offered in the private placement have not been registered under the Securities Act, or any state securSecurities Act, or any state securitiessecurities law.

Until the shares underlying the preferred stock and shares underlying the warrants are registered, they may not be offered or sold in the United States except pursuant to an exemption from the registration requirements of the Securities Act and applicable state laws.