Sentences with phrase «arising under securities laws»

Not exact matches

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 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 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.

The Underwriting Agreement between the Trust and Northern Lights Distributors, LLC («NLD») provides that the Registrant agrees to indemnify, defend and hold NLD, its several officers and directors, and any person who controls NLD within the meaning of Section 15 of the Securities Act free and harmless from and against any and all claims, demands, liabilities and expenses (including the reasonable cost of investigating or defending such claims, demands or liabilities and any reasonable counsel fees incurred in connection therewith) which NLD, its officers and directors, or any such controlling persons, may incur under the Securities Act, the 1940 Act, or common law or otherwise, arising out of or based upon: (i) any untrue statement, or alleged untrue statement, of a material fact required to be stated in either any Registration Statement or any Prospectus, (ii) any omission, or alleged omission, to state a material fact required to be stated in any Registration Statement or any Prospectus or necessary to make the statements in any of them not misleading, (iii) the Registrant's failure to maintain an effective Registration statement and Prospectus with respect to Shares of the Funds that are the subject of the claim or demand, or (iv) the Registrant's failure to provide NLD with advertising or sales materials to be filed with the FINRA on a timely basis.

The Underwriting Agreement between the Trust and Ceros Financial Services Inc. («Ceros») provides that the Registrant agrees to indemnify, defend and hold Ceros, its several officers and directors, and any person who controls Ceros within the meaning of Section 15 of the Securities Act free and harmless from and against any and all claims, demands, liabilities and expenses (including the reasonable cost of investigating or defending such claims, demands or liabilities and any reasonable counsel fees incurred in connection therewith) which Ceros, its officers and directors, or any such controlling persons, may incur under the Securities Act, the 1940 Act, or common law or otherwise, arising out of or based upon: (i) any untrue statement, or alleged untrue statement, of a material fact required to be stated in either any Registration Statement or any Prospectus, (ii) the breach of any representations, warranties or obligations set forth herein, (iii) any omission, or alleged omission, to state a material fact required to be

Laura focuses her practice on civil litigation and regulatory investigations under the federal securities laws as well as state law claims arising from corporate transactions, such as suits seeking to enjoin mergers and acquisitions and appraisals.

Our lawyers represents D&O liability insurers, and their insured companies, directors and officers, in defense of claims involving breaches of fiduciary duties and claims arising under employment, environmental and securities laws.

A dispute between a pension fund and a broker arising out of the sale of collateralized mortgage obligations; the case contained allegations under the securities laws and ERISA

(judicial review arising from failures of due process in the Bar's disciplinary arrangements discovered by a report by COIC in 2012; time expired disciplinary judges — whether a tribunal «established by law» under ECHR Art. 6 and Art. 47 of the EU Charter of Fundamental Rights; whether Art 47 now has direct effect in UK; whether laid down selection process of disciplinary judges had to be followed at all; whether prosecutor could partake in selection process of disciplinary judges; whether a disciplinary judge could properly receive an undisclosed salary from the prosecutor; whether logjam in Visitorial appeals process caused unlawful delay; whether proper Art. 6 security of tenure when BSB sits on committee (COIC) with the power to remove disciplinary judges from the «pool» at will; whether «discreditable» conduct should be defined).

We advise on questions that arise under state «Blue Sky» laws, the Commodity Exchange Act, and all federal securities laws.

Jim has defended banks in connection with suits arising under various truth in lending laws as well the Uniform Commercial Code, has prosecuted multi district litigation involving injuries purportedly caused by the ingestion of certain prescription and over-the-counter drugs and has engaged in sales practices and securities litigation arising under common law, a myriad of consumer protection statutes, and the Securities and Exchsecurities litigation arising under common law, a myriad of consumer protection statutes, and the Securities and ExchSecurities and Exchange Acts.

However, for certain crimes (including insider trading and market manipulation), quasi-criminal sanctions — that, for breaches of securities law, include monetary sanctions and confiscation of the profits arising from the breach — may be imposed on legal entities under Legislative Decree No. 231/2001.

We advise registered representatives and companies on FINRA conduct rules, including broker check disputes and Form U4 / U5 issues; defend companies and individuals in FINRA regulatory investigations and enforcement proceedings; represent companies and individuals in industry and customer disputes in the FINRA forum; and litigate cases arising under federal and state securities laws.

• Create and maintain liaison with state agencies to acquire legal papers, stamps and seals • Ascertain that all stamps, seals and papers are kept safely under lock and key • Be physically present at occasions that require state approvals such as for law suits and property matters • Interview clients briefly to ensure that they understand the mechanics of affidavits and other legal documents • Determine the eligibility of documents and clients» intentions by indulging them in conversation • Verify identification documents such as birth certificates, social security cards, passports and licenses • Ascertain that the signer is not coerced into signing a document and report any misdemeanors as soon as they arise • Prepare affidavits, depositions and other documents according to set content standards • Sign prepared documents and affix stamps and seals on them in a bid to provide approval • Perform marriage ceremonies by ensuring that proper licenses are obtained and documentation completed (authorized only in the states of Florida, Maine and South Carolina) • Create and prepare records of items notarized and ensure that they are in correct order for public reference