Sentences with phrase «by state securities»

Offerings are subject to review by state securities regulators, commonly referred to as «Blue Sky» review.

These securities have not been reviewed or approved by United States Securities and Exchange Commission or by any state securities agency, nor have those authorities passed upon the accuracy or adequacy of this website or any other information furnished to prospective investors in connection with this offering.

Representation of a foreign financial institution in research analyst investigation by a state securities regulator

The DASH for the STASH program is being launched by state securities agencies and the nonprofit Investor Protection Institute.

10.31.2012 — IPT News Release: Workplace Investor Education Thriving Under New Approach Promoted By State Securities Regulators

The DASH for the STASH program is being launched by state securities agencies and the nonprofit Investor Protection Institute.

The settlement was announced on Wednesday by state securities regulators in Massachusetts and Alabama, who said the deal will also ensure that LPL buys back securities that were illegally sold to investors.

According to a leaked U.S. diplomatic cable, in January 2007, the company's representative in China, a U.S. citizen, was summoned and interrogated by the State Security Bureau about NTDTV staff reporting from its New York offices.

He, therefore, asked her to go into hiding and change phone numbers, to which she obliged to avoid being tracked by the state security agencies because she was on their radar.

Now, according to The Post and Slate's Anne Applebaum, the very «revolution» itself is being called into question, and online social media may have been used by the state security apparatus to misinform both locals and outside observers about what was going on.

Mr. Kanu, who was arrested by the State Security Service as he returned to Nigeria, has been in detention since October.

Not exact matches

«While wearable devices generally fall outside the scope of the FDA and HIPAA, the data collection activities associated with wearable devices could be governed by state privacy and security laws,» advised Health Law Gurus.

Information received by the U.N. also showed that militants publicly shot to death 27 civilians in Muhandiseen Park in northern Mosul on Nov. 25, and on Nov. 22 an Islamic State sniper killed a seven - year - old running towards the Iraqi Security Forces in Adan neighborhood in eastern Mosul.

The state government has officially hired Broadspectrum to provide security and custodial services to Western Australia from next year, under a $ 235.8 million contract previously held by Serco.

A source familiar with the White House emails on the Benghazi talking point revisions say that State Department spokesman Victoria Nuland was raising two concerns about the CIA's first version of talking points, which were going to be sent to Congress: 1) The talking points went further than what she was allowed to say about the attack during her state department briefings; and, 2) she believed the CIA was attempting to exonerate itself at the State Department's expense by suggesting CIA warnings about the security situation were ignState Department spokesman Victoria Nuland was raising two concerns about the CIA's first version of talking points, which were going to be sent to Congress: 1) The talking points went further than what she was allowed to say about the attack during her state department briefings; and, 2) she believed the CIA was attempting to exonerate itself at the State Department's expense by suggesting CIA warnings about the security situation were ignstate department briefings; and, 2) she believed the CIA was attempting to exonerate itself at the State Department's expense by suggesting CIA warnings about the security situation were ignState Department's expense by suggesting CIA warnings about the security situation were ignored.

Over the weekend, Cincinnati.com reported that SoMoLend, a crowdfunding site that distributes loans to local small businesses, was under investigation by Ohio's Division of Securities — i.e. the state's commerce regulators.

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.

Its backers are financial markets insiders who have become frustrated by the state of affairs today and want to see more competition in securities trading.

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.

The company also reported that in addition to ongoing investigations by the Securities and Exchange Commission and others, Valeant's business is also being investigated by the State of North Carolina Department of Justice.

In a research note, TD Securities analyst stated the obvious by noting the optics surrounding this transition are «not ideal.»

There were just four such platforms in October after the crackdown, but the number had risen to 21 by the end of November, according to the state - run National Committee of Experts on Internet Financial Security Technology.

BISMARCK, N.D. — A North Carolina - based private security firm hired by Texas - based pipeline developer Energy Transfer Partners won't be banned from North Dakota, though a judge is still weighing whether TigerSwan operated illegally in the state during protests against the Dakota Access oil pipeline and might be subject to fines.

The company has said the cyber attack was carried out by a «state - sponsored» actor, but some private security experts have challenged that assertion.

Seven states reported that their systems were hacked by Russians, according to Reuters, but the Department of Homeland Security has disputed these claims.

ORIGINAL REQUEST: Account / wallet / vault registration records for each account / wallet / vault owned or controlled by the user during the period stated above including, but not limited to, complete user profile, history of changes to user profile from account inception, complete user preferences, complete user security settings and history (including confirmed devices and account activity), complete user payment methods, and any other information related to the funding sources for the account / wallet / vault, regardless of date.

The Australian Securities and Investments Commission has launched civil proceedings against Perth - based State One Stockbroking, and in a separate matter has accepted undertakings from two liquidators employed by Melsom Robson.

In April, Assistant Secretary for International Markets and Investment Heath Tarbert said the United States is considering ways to restrict sensitive Chinese investments in the United States by invoking an emergency powers law and bringing forward some security review reforms for corporate acquisitions.

A shift by Chinese companies to dominate 5G «would have substantial negative national security consequences for the United States,» the Treasury said.

High - grade military explosives used to build the bomb were sent by air cargo from Turkey as part of a plot inspired and directed by the militant Islamic State group, police Deputy Commissioner National Security Michael Phelan said in August.

In early July, Texas Governor Rick Perry, a potential 2016 candidate for president, told the U.S. House Committee on Homeland Security that he was seeking $ 500 million in reimbursement for a decade's worth of spending by the state on border security and enfoSecurity that he was seeking $ 500 million in reimbursement for a decade's worth of spending by the state on border security and enfosecurity and enforcement.

Emirates is reducing flights to the United States because of a drop in demand caused by tougher U.S. security measures

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.

The development could bring an abrupt end to the high - stakes legal showdown which has become a lightning rod for a broader debate on data privacy in the United States, which was inflamed by revelations in 2013 from former National Security Agency contractor Edward Snowden about the U.S. government's massive surveillance programs.

He'll expand on that thesis at the invitation of CLSA, a Hong Kong - based equities brokerage that was founded by a group of former British journalists and is now owned by Citic Securities, one of China's largest state - controlled conglomerates.

STEVENSON, Md. --(BUSINESS WIRE)-- The securities litigation law firm of Brower Piven, A Professional Corporation, has commenced an investigation into possible breaches of fiduciary duty and other violations of state law by the Board of Directors of DCT Industrial Trust Inc. (NYSE: DCT)(«DCT Industrial» or the «Company») relating to the proposed buyout of DCT Industrial by Prologis, Inc..

Nearly 700,000 Rohingya fled Myanmar after militant attacks on Aug. 25 sparked a crackdown led by security forces in western Rakhine state that the United Nations and United States have said constitute ethnic cleansing.

If enacted, the legislation would expand foreign investment review procedures overseen by the Committee on Foreign Investment in the United States (CFIUS), which is chaired by the treasury secretary and seeks input from the departments of defence and homeland security, among other federal bodies.

Actual results, including with respect to our targets and prospects, could differ materially due to a number of factors, including the risk that we may not obtain sufficient orders to achieve our targeted revenues; price competition in key markets; the risk that we or our channel partners are not able to develop and expand customer bases and accurately anticipate demand from end customers, which can result in increased inventory and reduced orders as we experience wide fluctuations in supply and demand; the risk that our commercial Lighting Products results will continue to suffer if new issues arise regarding issues related to product quality for this business; the risk that we may experience production difficulties that preclude us from shipping sufficient quantities to meet customer orders or that result in higher production costs and lower margins; our ability to lower costs; the risk that our results will suffer if we are unable to balance fluctuations in customer demand and capacity, including bringing on additional capacity on a timely basis to meet customer demand; the risk that longer manufacturing lead times may cause customers to fulfill their orders with a competitor's products instead; the risk that the economic and political uncertainty caused by the proposed tariffs by the United States on Chinese goods, and any corresponding Chinese tariffs in response, may negatively impact demand for our products; product mix; risks associated with the ramp - up of production of our new products, and our entry into new business channels different from those in which we have historically operated; the risk that customers do not maintain their favorable perception of our brand and products, resulting in lower demand for our products; the risk that our products fail to perform or fail to meet customer requirements or expectations, resulting in significant additional costs, including costs associated with warranty returns or the potential recall of our products; ongoing uncertainty in global economic conditions, infrastructure development or customer demand that could negatively affect product demand, collectability of receivables and other related matters as consumers and businesses may defer purchases or payments, or default on payments; risks resulting from the concentration of our business among few customers, including the risk that customers may reduce or cancel orders or fail to honor purchase commitments; the risk that we are not able to enter into acceptable contractual arrangements with the significant customers of the acquired Infineon RF Power business or otherwise not fully realize anticipated benefits of the transaction; the risk that retail customers may alter promotional pricing, increase promotion of a competitor's products over our products or reduce their inventory levels, all of which could negatively affect product demand; the risk that our investments may experience periods of significant stock price volatility causing us to recognize fair value losses on our investment; the risk posed by managing an increasingly complex supply chain that has the ability to supply a sufficient quantity of raw materials, subsystems and finished products with the required specifications and quality; the risk we may be required to record a significant charge to earnings if our goodwill or amortizable assets become impaired; risks relating to confidential information theft or misuse, including through cyber-attacks or cyber intrusion; our ability to complete development and commercialization of products under development, such as our pipeline of Wolfspeed products, improved LED chips, LED components, and LED lighting products risks related to our multi-year warranty periods for LED lighting products; risks associated with acquisitions, divestitures, joint ventures or investments generally; the rapid development of new technology and competing products that may impair demand or render our products obsolete; the potential lack of customer acceptance for our products; risks associated with ongoing litigation; and other factors discussed in our filings with the Securities and Exchange Commission (SEC), including our report on Form 10 - K for the fiscal year ended June 25, 2017, and subsequent reports filed with the SEC.

As part of the settlement, New York - based Goldman agreed to a list of facts put together by the DoJ that stated Goldman had misled investors about the mortgage - backed securities while knowing that the repackaged loans were indeed riskier than what they had told investors.

Inside one of the fridges, black body bags stacked to the side contain the remains of civilians who were methodically gunned down by Islamic State snipers behind a soft - drinks factory as they fled toward Iraqi security forces in June.

«Iran sees (the summit) as an important step in the right direction that can contribute to lasting regional and global peace and security,» Iranian foreign ministry spokesman Bahram Qasemi was quoted as saying by state media.

Shulkin's departure comes on the heels of a series of exit announcements from the Trump administration in this month alone, including those by Secretary of State Rex Tillerson, National Security Advisor Director H.R. McMaster, National Economic Council Director Gary Cohn, Communications Director Hope Hicks, and Trump's personal aide John McEntee.

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.

Foreign private businesses, not just state - owned enterprises, can be manipulated by their home governments to advance foreign policy or national security aims.»

Among the leading nations for retirement security, the United States didn't even crack the top 10, according to the 2016 Global Retirement Index by Natixis Global Asset Management.

Russia has banned a charity founded by hedge fund billionaire George Soros, saying it posed a threat to state security and the Russian constitution.

The Department of Homeland Security's communications with state election officials were «impeded by state officials» mistrust of federal government overreach coupled with an unprecedented level of Russian cyber intrusions.»

According to Matthew Green, a cryptologist and assistant professor of computer science at Johns Hopkins University in the United States who examined the app's code after being contacted by Reuters, the ByLock network generates a private security key for each device, intended to keep users anonymous.

The younger man's trauma was reported to DeLaurentis and the embassy's diplomatic security chief, Anthony Spotti, on Dec. 30, State Department officials said, and followed by word that the two other CIA officers had experienced something similar about a month before.