Sentences with phrase «us federal securities»

The action, which was filed in the United States District Court for the District of New Jersey, alleges that the Company violated federal securities laws.

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 officials.

U.S. authorities could have prevented the bombings by acting on these warnings, senior members of the Russian Federal Security Service told U.S. Representative William R. Keating of Massachusetts.

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 officials.

This news release includes «forward - looking statements» within the meaning of the U.S. federal securities laws.

The action, which was filed in the United States District Court for the Southern District of New York, alleges that the Company violated federal securities laws.

Today, USMA Law Group announced that it too is investigating whether LongFin «and certain of its officers and directors violated federal securities laws.»

His information is believed by the government to be credible and has been corroborated upon further investigation, according to one senior federal security official.

By late 2013, El Marro's outfit faced incursions by others, Juan and federal security officials say.

If your adviser is an investment adviser and governed by the federal Securities and Exchange Commission, the adviser serves as fiduciary to you and must put your interests above his own and act in your best interest.

When a publicly traded company experiences a significant event, federal securities law requires it to disclose this to investors.

The SEC said it's looking into potential violations of the federal securities laws related to Iconix's financial reporting.

They allege «violations of the federal securities laws in connection with statements regarding our cybersecurity systems and controls» and are seeking «unspecified monetary damages, costs and attorneys» fees.»

Even before being hit with a federal securities fraud lawsuit by the SEC and independent perjury charges by the DOJ last month, the founder of a now - defunct cryptocurrency exchange had left a trail of lawsuits.

Plaintiff seeks to recover compensable 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.

The SEC said it's looking into potential violations of federal securities laws related to Iconix's financial reporting.

Other than as required under U.S. federal securities laws or Canadian securities laws, we do not assume a duty to update these forward - looking statements, whether as a result of new information, subsequent events or circumstances, change in expectations or otherwise.

Rigrodsky & Long, P.A., with offices in Wilmington, Delaware, Garden City, New York, and San Francisco, California, has recovered hundreds of millions of dollars on behalf of investors and achieved substantial corporate governance reforms in numerous cases nationwide, including federal securities fraud actions, shareholder class actions, and shareholder derivative actions.

Although no executive was charged in the cases, JPMorgan took the unusual step of acknowledging that it had violated federal securities laws.

The federal securities laws provide disclosure requirements and other important protections of which investors should be aware.

Under federal securities rules, public companies aren't supposed to disclose «material information» about their business performance unless it's made widely available to the public, noted Stephen Diamond, an associate professor who teaches securities law at Santa Clara University.

«These and other services offered by platforms may trigger other registration requirements under the federal securities laws, including broker - dealer, transfer agent, or clearing agency registration, among other things,» the statement said.

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.

If your advisor is an investment advisor and governed by the federal Securities and Exchange Commission, the advisor serves as fiduciary to you and must put your interests above his own and act in your best interest.

The complaint alleges that Telefonaktiebolaget LM Ericsson violated federal securities laws by issuing materially false and / or misleading information and / or failing to disclose material information.

I have asked the SEC's Division of Enforcement to continue to police this area vigorously and recommend enforcement actions against those that conduct initial coin offerings in violation of the federal securities laws.

Member Regulation examines all firms for compliance with FINRA, MSRB and SEC rules, and federal securities laws.

The prosecutors, according to JPMorgan's quarterly regulatory filing in August, had «preliminarily concluded» that the bank «violated certain federal securities laws.»

In this capacity, FINRA writes and enforces its own rules, as well as enforcing federal securities rules and laws.

And under the settlement deal with the S.E.C., JPMorgan took the unusual step of acknowledging that it had violated federal securities laws.

[6] In the 21 (a) Report, the Commission applied longstanding securities law principles to demonstrate that a particular token constituted an investment contract and therefore was a security under our federal securities laws.

The appointment of even one SEC Commissioner with significant experience as a state securities regulator would dramatically improve coordination between state and federal securities authorities and bring a perspective informed by experiences from Main Street America where investor protection is personal and capital formation means real jobs.

I fear that that the emerging fight between at least 4 priovinces, Alberta, Manitoba, Quebec and New Brunswick against the Ottawa / Ontario single federal securities regulator scheme will damage Ontario's capital markets for years to come and the Toronto financial markets, the Toronto financial services industry and the Ontario economy.

In addition to the Canada Pension Plan Account, there was a Canada Pension Plan Investment Fund that would take the surplus that accumulated over and above administration costs and the amount of money required to pay immediate benefits (i.e. three months» worth) and invest it in provincial and federal securities.

US federal securities law applies regardless of whether the «issuing entity» is a regular company or a decentralized autonomous organization.

Under the federal securities laws, any offer or sale of a security must either be registered with the SEC or meet an exemption.

Under the federal securities laws, a company that offers or sells its securities must register the securities with the SEC or find an exemption from the registration requirements.

The federal securities laws provide companies with a number of exemptions.

Any repurchases made under the Repurchase Program would be made on a national securities exchange at the prevailing market price, subject to exchange requirements regarding volume, timing and other limitations under federal securities laws.

Note on forward - looking statements: This press release and accompanying schedules contain «forward - looking statements» within the meaning of federal securities laws, including statements about earnings trends, estimates, and assumptions, and similar statements concerning anticipated future events and expectations that are not historical facts.

Except as required by the federal securities laws, NHF does not undertake any obligation to publicly update or revise any forward - looking statements, whether as a result of new information, future events, changing circumstances or any other reason after the date of this press release, except as required by law.

If the Federal Reserve raises the fed funds rate to 3.5 % and sells its federal securities into the market, as it is proposing to do, by 2026 the projected tab will be $ 830 billion annually.

It will sell $ 2.7 trillion in federal securities at the rate of $ 50 billion monthly beginning in October.

Note on forward - looking statements: This press release and accompanying schedules contain «forward - looking statements» within the meaning of federal securities laws, including statements about earnings trends, organizational and separation related efforts, estimates, and assumptions, and similar statements concerning anticipated future events and expectations that are not historical facts.

«A review of these documents conducted by my staff has identified 11 separate FCIC referrals of individuals or corporations to DOJ in cases where the FCIC found «serious indications of violations [s]» of federal securities or other laws.

John Grazioli is still registered as an investment adviser with the department and the federal Securities and Exchange Commission, according to the department and SEC records.

At that hearing, Clayton declared, «To the extent that digital assets are securities — and I believe every ICO I've seen is a security — we have jurisdiction and our federal securities laws apply.»

«We have talked a lot with the DOL, and we've tried to coordinate and work with them, but they have to operate under the Employee Retirement Income Security Act (ERISA), which is quite a different statute than the federal securities laws,» Schapiro said.

It was only in the fall of 2013, that the federal securities laws in the US were amended under Title II of the Jobs Act to allow advertising when selling to accredited investors (often referred to as Title II equity crowdfunding or Rule 506 (c) equity crowdfunding).

The CME Group is using a process known as «self - certification,» which is when an exchange pledges that the new instruments will not break any federal securities laws.