NLCS's compliance services consist primarily of reviewing and assessing the policies and procedures of the Trust and its service providers pertaining to compliance with
applicable federal securities laws, including Rule 38a - 1 under the 1940 Act.
The Effective date of the transaction will be 20 days following the distribution of this Information Statement, as required by
applicable federal securities laws.
Not exact matches
The plan administrator has discretion, however, to establish written conditions and procedures for the transfer of awards to other persons or entities, provided that such transfers comply with
applicable federal and state
securities laws and are not made for value, other than nominal value or certain transfers to family members.
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.
The Contractors IT
Security Plan shall comply with
applicable Federal Laws that include, but are not limited to, 40 U.S.C. 11331, the
Federal Information
Security Management Act (FISMA) of 2002 and the E-Government Act of 2002.
FMCSA's contractor is subject to routine audits by DOT / FMCSA privacy officials and the FMCSA Information Technology (IT)
Security Team to ensure compliance with the Privacy Act of 1974 and all other
applicable Federal laws, regulations, and requirements.
Issuing Company: ETF
Securities Ltd Ticker: PPLT Expense Ratio: 0.60 % Tax Treatment: From the prospectus, «Under current
law, gains recognized by individuals from the sale of «collectibles,» including physical platinum, held for more than one year are taxed at a maximum
federal income tax rate of 28 %, rather than the 15 % rate
applicable to most other long - term capital gains.»
j) You agree that all assets deposited in your Margin Account as collateral for any margin loan that you may have obtained are freely transferable and are not subject to any restriction on resale under any
applicable federal or state
securities laws or otherwise, and are not «restricted,» «legend» or affiliate's «control» stock.
MELA or FAME Student Loan Revenue Bonds described in a Preliminary Official Statement may be offered, if at all, and may be sold, only by means of a final Official Statement provided by broker - dealers authorized and properly registered and licensed to make such offers and sales, and will be made only in accordance with
applicable federal and state
securities laws.
You will not, and will not allow or authorize others to, use the Services or the Sites to take any actions that: (i) infringe on any third party's copyright, patent, trademark, trade secret or other proprietary rights or rights of publicity or privacy; (ii) violate any
applicable law, statute, ordinance or regulation (including those regarding export control); (iii) are defamatory, trade libelous, threatening, harassing, invasive of privacy, stalking, harassment, abusive, tortuous, hateful, discriminatory based on race, ethnicity, gender, sex or disability, pornographic or obscene; (iv) interfere with or disrupt any services or equipment with the intent of causing an excessive or disproportionate load on the Animal League or its licensors or suppliers» infrastructure; (v) involve knowingly distributing viruses, Trojan horses, worms, or other similar harmful or deleterious programming routines; (vi) involve the preparation and / or distribution of «junk mail», «spam», «chain letters», «pyramid schemes» or other deceptive online marketing practices or any unsolicited bulk email or unsolicited commercial email or otherwise in a manner that violate the Controlling the Assault of Non-Solicited Pornography and Marketing Act (CAN - SPAM Act of 2003); (vii) would encourage conduct that could constitute a criminal offense, give rise to civil liability or otherwise violate any
applicable local, state,
federal or international
laws, rules or regulations; (viii) involve the unauthorized entry to any machine accessible via the Services or interfere with the Sites or any servers or networks connected to the Sites or disobey any requirements, procedures, policies or regulations of networks connected to the Sites, or attempt to breach the
security of or disrupt Internet communications on the Sites (including without limitation accessing data to which you are not the intended recipient or logging into a server or account for which you are not expressly authorized); (ix) impersonate any person or entity, including, without limitation, one of the Animal League's or other's officers or employees, or falsely state or otherwise misrepresent your affiliation with a person or entity; (x) forge headers or otherwise manipulate identifiers in order to disguise the origin of any information transmitted through the Sites; (xi) collect or store personal data about other Animal League members, Site users or attempt to gain access to other Animal League members information, or otherwise mine information about Animal League members, Site users, or the Sites; (xii) execute any form of network monitoring or run a network analyzer or packet sniffer or other technology to intercept, decode, mine or display any packets used to communicate between the Sites» servers or any data not intended for you; (xiii) attempt to circumvent authentication or
security of any content, host, network or account («cracking») on or from the Sites; or (xiv) are contrary to the Animal League's public image, goodwill, reputation or mission or otherwise not in furtherance of the Animal Leagues stated purposes.
Monitor
applicable statutes including the Commodity Exchange Act,
federal banking
laws,
federal and state
securities laws,
federal energy
laws,
federal and state bankruptcy and insolvency
laws, and state insurance
laws
The Hearing expects to examine the economic efficiencies and potential capital formation opportunities that cryptocurrencies and ICOs potentially offer to businesses and investors, and review the adherence to
applicable laws so that investors receive the full protections afforded by the
federal securities laws.