Sentences with phrase «federal securities law in»

The Match Group is getting sued after being accused of violating federal securities law in connection with last year's IPO.

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.»

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).

Expert U.S. - based counsel is especially critical now that the Supreme Court has precluded foreign securities purchasers from monetary relief under the U.S. federal securities laws in Morrison v. Nat» l Australia Bank, 130 S. Ct. 2869 (2010).

In the first complaint, the SEC charged Falcone, Harbinger and Peter Jenson, a former Managing Director and Chief Operating Officer of Harbinger, with violations of the federal securities laws in relation to the misappropriation of client assets (through the making of a $ 113.2 million loan from a fund managed by Harbinger to Falcone to pay his personal taxes) and the granting of undisclosed preferential redemption rights to certain investors.

The lead plaintiffs alleged that MDC had, inter alia, violated federal securities laws in the manner by which it disclosed certain executive compensation, and in its calculation and presentation of goodwill and the non-GAAP financial metric, EBITDA.

LLC, as our financial advisor («Morgan Stanley»), in order for the DMM to effect a fair and orderly opening of our ordinary shares on the NYSE, without coordination with us, consistent with the federal securities laws in connection with our direct listing.

Moreover, consistent with the federal securities laws in connection with our direct listing, we have not consulted with Registered Shareholders or other existing shareholders regarding their desire to sell shares in a public market or discussed with potential investors their intentions to buy our ordinary shares in the open market.

Not exact matches

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 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 Transportation Security Administration, the federal agency in charge of screening passengers, isn't specifically looking for drugs that are illegal under federal law, a spokesman said.

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.

In his 2015 book «Rewriting the Rules of the American Economy,» Stiglitz said that the normalization of shareholder primacy was solidified under the Reagan administration through changes to federal income tax law and securities law, including relaxed antitrust 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.

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.

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

Cummings said in the letter, which he wrote with the top Democrat on the House Foreign Affairs Committee, Rep. Eliot Engel, that «it appears that General Flynn violated federal law by omitting this trip and these foreign contacts from his security clearance renewal application in 2016 and concealing them from security clearance investigators who interviewed him as part of the background check process.»

In a report likely to jolt the red - hot market for so - called «Initial Coin Offerings» (ICOs), the Securities and Exchange Commission on Tuesday found that the «coins» in one prominent ICO were in fact securities — meaning the transactions fell afoul of federal investment lawIn a report likely to jolt the red - hot market for so - called «Initial Coin Offerings» (ICOs), the Securities and Exchange Commission on Tuesday found that the «coins» in one prominent ICO were in fact securities — meaning the transactions fell afoul of federal investSecurities and Exchange Commission on Tuesday found that the «coins» in one prominent ICO were in fact securities — meaning the transactions fell afoul of federal investment lawin one prominent ICO were in fact securities — meaning the transactions fell afoul of federal investment lawin fact securities — meaning the transactions fell afoul of federal investsecurities — meaning the transactions fell afoul of federal investment laws.

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.

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.

In that case, led by the civil division of the United States attorney's office for the Eastern District of California, prosecutors found that JPMorgan flouted federal laws with its sale of subprime mortgage securities from 2005 to 2007.

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.

[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.

A CFPB spokesperson said in an email to Vox that the bureau is authorized to take «supervisory and enforcement action against certain institutions engaged in unfair, deceptive, or abusive acts or practices, or that otherwise violate federal consumer financial laws,» including the failure of institutions to engage in «reasonable data security practices» in connection with consumer report information.

A bill currently in the US Senate would call on federal personnel, including from the Department of Homeland Security, to develop and share with other law enforcement bodies a threat assessment describing how cryptocurrencies could be used to support terrorist activity.

None of the Reporting Persons nor any manager or executive officer of the Reporting Persons, has, during the past five years, (a) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), or (b) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting, or mandating activities subject to, Federal or State securities laws or a finding of any violation with respect to such laws.

This discussion also does not consider any specific facts or circumstances that may be relevant to holders subject to special rules under the U.S. federal income tax laws, including, without limitation, certain former citizens or long - term residents of the United States, partnerships or other pass - through entities, real estate investment trusts, regulated investment companies, «controlled foreign corporations,» «passive foreign investment companies,» corporations that accumulate earnings to avoid U.S. federal income tax, banks, financial institutions, investment funds, insurance companies, brokers, dealers or traders in securities, commodities or currencies, tax - exempt organizations, tax - qualified retirement plans, persons subject to the alternative minimum tax, persons that own, or have owned, actually or constructively, more than 5 % of our common stock and persons holding our common stock as part of a hedging or conversion transaction or straddle, or a constructive sale, or other risk reduction strategy.

«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.

Under the federal law Regulation D in the Securities Act of 1933, certain companies are exempt from registering the sale of securities, which are typically forms of stocks or bonds, and in the case of PeerStreet, real esSecurities Act of 1933, certain companies are exempt from registering the sale of securities, which are typically forms of stocks or bonds, and in the case of PeerStreet, real essecurities, which are typically forms of stocks or bonds, and in the case of PeerStreet, real estate debt.

The SEC finding in July that DAO tokens are a security, and subject to federal securities laws was welcomed by cryptocurrency industry observers as an indication the agency is developing laws to apply to cryptocurrencies.

At various times after the date of this prospectus, the remaining shares will become available for resale in the public market, in compliance with the requirements of the federal securities laws and in accordance with lock - up agreements that certain of the holders of these shares have with the underwriters.

In December, he issued a statement explaining why he believes certain ICOs should fall under the jurisdiction of federal securities law and, as such, be filed beforehand.

By Faruqi & Faruqi, LLP NEW YORK, NY / ACCESSWIRE / December 13, 2017 / Faruqi & Faruqi, LLP, a leading national securities law firm, reminds investors in Tivity Health, Inc. («Tivity» or the «Company»)(NASDAQ: TVTY) of the January 19, 2018 deadline to seek the role of lead plaintiff in a federal securities class -LSB-...]

Earlier this year, the SEC ruled that the now defunct DAO tokens were in fact securities and therefore subject to federal law.

Celebrities who endorse an investment often do not have sufficient expertise to ensure that the investment is appropriate and in compliance with federal securities laws.

This is consistent with prior messaging given that Chairman Clayton requested on December 11 that the SEC's Enforcement Division «vigorously» enforce and recommend action against ICOs that may be in violation of the federal securities laws.

«If they are securities, the offer and sale of these virtual coins or tokens in an ICO are subject to the federal securities laws» — US Securities and Exchange Commission (SEC), Julsecurities, the offer and sale of these virtual coins or tokens in an ICO are subject to the federal securities laws» — US Securities and Exchange Commission (SEC), Julsecurities laws» — US Securities and Exchange Commission (SEC), JulSecurities and Exchange Commission (SEC), July 25, 2017

This makes itBit the only U.S. - chartered and supervised bitcoin exchange able to offer unique protection and security for customers in full compliance with New York and federal law.

In the USA, the federal securities laws do not allow any company to offer or even sell securities unless they are registered with SEC (Securities and Exchange Commission) or there is an exception under which they don't have to follow with this regsecurities laws do not allow any company to offer or even sell securities unless they are registered with SEC (Securities and Exchange Commission) or there is an exception under which they don't have to follow with this regsecurities unless they are registered with SEC (Securities and Exchange Commission) or there is an exception under which they don't have to follow with this regSecurities and Exchange Commission) or there is an exception under which they don't have to follow with this registration.

These markets not only provide access to the world's most dynamic investments, they are protected by the most robust anti-fraud laws in the world — the United States Federal Securities laws.

Mr. Lieberman is working with the Firm's international clients to craft a response to the Supreme Court's ruling in Morrison v. Nat» l Australia Bank, Ltd., which limited the ability of foreign investors to seek redress under the federal securities laws.

Our attorneys successfully have argued appeals in landmark cases under the federal securities laws and the Commodity Exchange Act.

In late July, the U.S. Securities and Exchange Commission (SEC) announced that virtual tokens, such as those sold by the decentralized autonomous organization (DAO), are securities and therefore now subject to federal securiSecurities and Exchange Commission (SEC) announced that virtual tokens, such as those sold by the decentralized autonomous organization (DAO), are securities and therefore now subject to federal securisecurities and therefore now subject to federal securitiessecurities laws.

Certain statements in this release constitute forward - looking statements within the meaning of the U.S. federal securities laws intended to qualify for the safe harbor from liability established by the Private Securities Litigation Reform Acsecurities laws intended to qualify for the safe harbor from liability established by the Private Securities Litigation Reform AcSecurities Litigation Reform Act of 1995.

He litigated major law reform and class action cases in the federal court of appeals and Supreme Court on Social Security, Medicaid, Aid to Families with Dependent Children, SNAP / Food Stamps and other public benefits issues, and the rights of children born out of wedlock.

In accordance with Art. 10.1 of Law No. 149 - FZ, these responsibilities are to provide the federal executive body in the field of security (the FSB of Russia) with the information necessary to decode received, transmitted, delivered and (or) processed electronic messageIn accordance with Art. 10.1 of Law No. 149 - FZ, these responsibilities are to provide the federal executive body in the field of security (the FSB of Russia) with the information necessary to decode received, transmitted, delivered and (or) processed electronic messagein the field of security (the FSB of Russia) with the information necessary to decode received, transmitted, delivered and (or) processed electronic messages.

The omnibus extraordinary session package also provides a financial incentives to entice Vernon Downs racino and harness track to remain open; offers $ 55 million in relief for Lake Ontario communities ravaged by flooding; tweaks a law to allow New York City first responders to receive an accidental disability pensions even if they don't receive a federal Social Security disability pension; and creates a 250 - acre forest land bank to allow for certain public utility projects under a constitutional amendment.

To contain the spate of insurgency in Nigeria, the Federal government has adopted a multi-sectoral approach, involving relevant government agencies to address the socio - economic and political dimensions while the Armed Forces of Nigeria assist the civil authorities to provide security and maintain law and order.

The impression a dispassionate observer would have from the failure of security and law enforcement during the Bayelsa election (which was conducted in Nigeria's smallest state with the lowest number of registered voters) would be that the federal government permitted or condoned the strong - arm tactics of the ruling party's candidate in his ultimately vain effort to secure that state's rulership by force.