Sentences with phrase «federal securities law issues»

Neal's business litigation experience has included the successful trial and arbitration of cases involving a broad spectrum of issues, including but not limited to the Uniform Commercial Code, «lender liability» law, fraudulent conveyance avoidance, preference avoidance, partnership disputes, state and federal securities law issues, business torts, and contract law.

Not exact matches

Painter recommends that Congress pass a law right now that would require that when a President or his businesses have specific matters pending before a federal agency — like, say, an Internal Revenue Service audit, or a case before the National Labor Relations Board or the Securities and Exchange Commission, or a licensing issue before the Federal Communications Commission — that the matter must be decided by a career civil servant, rather than by a political appfederal agency — like, say, an Internal Revenue Service audit, or a case before the National Labor Relations Board or the Securities and Exchange Commission, or a licensing issue before the Federal Communications Commission — that the matter must be decided by a career civil servant, rather than by a political appFederal Communications Commission — that the matter must be decided by a career civil servant, rather than by a political appointee.

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.

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

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.

Referring to a draft article co-authored by Gallagher which suggests that proposals drafted by Harvard Law School's Shareholder Rights Project may constitute a violation of SEC rules, Minow quotes Columbia law professor Robert Jackson, who wrote, «It is wildly inappropriate for a sitting SEC commissioner to issue a law review paper accusing a private party of violating federal securities law without any investigation or due process of any kiLaw School's Shareholder Rights Project may constitute a violation of SEC rules, Minow quotes Columbia law professor Robert Jackson, who wrote, «It is wildly inappropriate for a sitting SEC commissioner to issue a law review paper accusing a private party of violating federal securities law without any investigation or due process of any kilaw professor Robert Jackson, who wrote, «It is wildly inappropriate for a sitting SEC commissioner to issue a law review paper accusing a private party of violating federal securities law without any investigation or due process of any kilaw review paper accusing a private party of violating federal securities law without any investigation or due process of any kilaw without any investigation or due process of any kind.

This exemption provides that any issue of securities offered only to investors residing within one state, where the issuer is a resident of the same state, is exempt from registration under the federal securities laws.

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.

He further said that as the NSA, he was in charge of collating security issues and reporting to the President of the Federal Republic of Nigeria as demanded by the law that established the Office of the NSA.

From 2000 - 2006, Ron worked as a lawyer with FTA's General Law Division, handling Federal Court litigation, and issues related to transit security, transit finance, Federal grants, and FOIA.

Securities Act of 1933: The federal law regulating new issues, requiring their registration with the SEC.

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.»

Insurance companies issue both products, and anyone who sells them must be registered under state insurance laws and state and federal securities laws.

While these securities do not pay current cash income, federal income tax law requires the holders of zero - coupon, step - coupon, and pay - in - kind securities to include in income each year the portion of the original issue discount (or deemed discount) and other non-cash income on such securities accruing that year.

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Focus on the Data provides unique insights and practical guidance on privacy and data security issues under international, federal, state and local laws.

She counsels clients regarding registration, reporting, disclosure and compliance issues under the federal securities laws as a member of Eversheds Sutherland (US)'s Financial Services Practice Group.

In federal court, Laura has successfully argued a motion to dismiss a putative class action alleging violations of the securities laws based on an issue of first impression: whether statements in companies» codes of ethics are actionable.

Exceptional revocation cases that raise complex issues of fact and law, such as those involving war crimes and crimes against humanity, as well as cases regarding security, other human or international rights violations and organized criminality, would instead be decided by the federal court.

In applying the Howey Test to The DAO, the SEC report concluded that digital coins or tokens issued by an individual or entity for the purpose of raising funds for projects may be considered securities under federal law, regardless of whether done so using a traditional company or decentralized autonomous organization.

Our lawyers represent private and public employers in employment litigation, traditional labor law, wage / hour issues, competition - related litigation, immigration matters, workers» compensation proceedings, and administrative proceedings before the U.S. Department of Labor, Department of Homeland Security, Occupational Safety and Health Administration (OSHA), Equal Employment Opportunity Commission (EEOC), National Labor Relations Board (NLRB), Office of Federal Contract Compliance Programs (OFCCP), and various state agencies.

He has authored numerous articles and he frequently lectures on federal securities law and anti-corruption issues.

Often, regulations are necesssary to effectuate laws, e.g. SEC issuing its own regulations on how to enforce federal securities laws.

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.

Earlier this month, reports emerged that the SEC had issued as many as 80 subpoenas to ICO operators and advisers, seeking to investigate whether they had violated federal laws by holding unregistered securities offerings.

The SEC teamed up with CFTC to issue a joint statement on Friday, saying: «When market participants engage in fraud under the guise of offering digital instruments — whether characterized as virtual currencies, coins, tokens, or the like — the SEC and the CFTC will look beyond form, examine the substance of the activity and prosecute violations of the federal securities and commodities laws.»

«Federal securities laws apply to those who offer and sell securities in the U.S., regardless whether the issuing entity is a traditional company or a decentralized autonomous organization, regardless whether those securities are purchased using U.S. dollars are virtual currencies, and regardless whether they are distributed in certificated form or through distributed ledger technology.»

The SEC issued a statement Wednesday that exchanges will be held to federal securities laws regardless of how the cryptocurrency community defines a particular asset.

The SEC statements reads in part: «federal securities laws apply to those who offer and sell securities in the United States, regardless whether the issuing entity is a traditional company or a decentralized autonomous organization, regardless whether those securities are purchased using U.S. dollars or virtual currencies, and regardless whether they are distributed in certificated form or through distributed ledger technology.»

The U.S. Securities and Exchange Commision (SEC) recently issued an investigative report cautioning market participants that the offer and sale of digital tokens by «virtual» organizations may be subject to the requirements of federal securities laws, also noting that potential classifications of tokens as a securities will be assessed on a case - by - case basis and will relate to the facts and circumstances, including the economic realities of the trSecurities and Exchange Commision (SEC) recently issued an investigative report cautioning market participants that the offer and sale of digital tokens by «virtual» organizations may be subject to the requirements of federal securities laws, also noting that potential classifications of tokens as a securities will be assessed on a case - by - case basis and will relate to the facts and circumstances, including the economic realities of the trsecurities laws, also noting that potential classifications of tokens as a securities will be assessed on a case - by - case basis and will relate to the facts and circumstances, including the economic realities of the trsecurities will be assessed on a case - by - case basis and will relate to the facts and circumstances, including the economic realities of the transaction.

The SEC announcement went on further to state that «the federal securities laws apply to those who offer and sell securities in the United States, regardless whether the issuing entity is a traditional company or a decentralized autonomous organization, regardless whether those securities are purchased using U.S. dollars or virtual currencies, and regardless whether they are distributed in certificated form or through distributed ledger technology.»

As part of Perkins Coie's Investment Management, Fintech and Blockchain teams, Mike will represent clients on various federal securities laws and complex regulatory issues raised by blockchain technology and in connection with the emergence of digital asset sales and digital securities.

The SEC added that federal securities laws apply to those who offer and sell securities in the United States, regardless whether the issuing entity is a traditional company or a decentralized autonomous organization, regardless whether those securities are purchased using U.S. dollars or virtual currencies, and regardless whether they are distributed in certificated form or through distributed ledger technology.

The organization emphasized that federal securities laws apply to all securities in the U.S., whether the issuing entity is a traditional company or a decentralized autonomous organization, and whether the securities are purchased using fiat or digital currencies.

About Blog Analyzing the Global Impact of Cybersecurity, Law, and Business Risk.I have extensive experience advising and guiding clients through state and federal court matters involving highly complex cyber, technology, commercial, and intellectual property legal issues such as computer fraud, hacking, data security and data breach, privacy, social media law and the Computer Fraud and Abuse ALaw, and Business Risk.I have extensive experience advising and guiding clients through state and federal court matters involving highly complex cyber, technology, commercial, and intellectual property legal issues such as computer fraud, hacking, data security and data breach, privacy, social media law and the Computer Fraud and Abuse Alaw and the Computer Fraud and Abuse Act.