Sentences with phrase «federal securities laws»

The situation is complicated by at least 7 class actions against the company for violations of federal securities laws.

Since you can generally choose from a variety of investments within the investment component of your coverage and returns are never guaranteed, variable life insurance is regulated under federal securities laws.

Even more, many platforms for swapping digital currencies for cash or other cryptocurrencies fall under the «exchange» umbrella as defined by federal securities laws.

He also represents institutions and individuals in regulatory investigations regarding compliance with federal securities laws and the rules governing self - regulatory organizations.

In the high - flying corporate world, employees from time to time suspect that a colleague or boss may be violating federal securities laws.

Federal securities law requires brokerages and banks that sell municipal bonds to make financial information and disclosures available to help investors assess the creditworthiness of a bond.

The federal government is suing the banks for breaking federal securities laws relating to the sale of mortgage - backed securities.

Posts about federal securities law enforcement, insider trading and criminal news - of - the - weird that hits the appellate courts.

This press release contains forward looking statements within the meaning of federal securities laws.

Therefore, they are regulated by federal securities laws.

When a publicly traded company experiences a significant event, federal securities law requires it to disclose this to investors.

The SEC's investigation was concerned not with identifying and charging those involved in the hack, but on whether the U.S. federal securities laws applied to the offer and sale of The DAO tokens.

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

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

Mr. Pinegar advises executive management, boards of directors and board committees regarding disclosure compliance under federal securities laws as well as the changing corporate governance environment and current and prospective governance requirements and attitudes (including under Sarbanes - Oxley, SEC rules, NYSE / NASDAQ rules and state law).

The SEC also will insist that all token issuers comply with applicable federal securities laws as they develop their platforms and token markets.

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.

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.

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.

Initial Coin Offerings (ICOs) are where cryptographic computing and federal securities laws collide.

On Tuesday, SEC head Jay Clayton reminded companies that calling their token a «utility» doesn't automatically make it except from federal securities laws.

Securities Exchange Commission made an announcement last week that some ICO i.e. Initial Coin Offering tokens can be given the status of being regarded as «Securities» once they start following federal securities laws.

«ICOs represent the most pervasive, open and notorious violation of federal securities laws since the Code of Hammurabi... We're waiting to see a whole bunch of enforcement actions in this space, and we wonder why they haven't happened yet.

Thomas E. Bisset is a member of the Financial Services Practice and concentrates his practice on investment management regulation, including advising mutual funds, insurance company issuers of fixed and variable insurance products and other financial entities on the establishment and operation of investment companies and novel financial instruments and on compliance with the Securities Act of 1933, the Investment Company Act of 1940 and other federal securities laws.

The prosecutors, according to JPMorgan's quarterly regulatory filing in August, had «preliminarily concluded» that the bank «violated certain federal securities laws.»

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 kind.

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Despite working on the project for three years, the bonds the Salomon team developed were a commercial failure due to various state regulations and federal securities laws dating back to the Great Depression [16]

NEW: Brooks Pierce attorney David Smyth writes with drama about federal securities law enforcement, insider trading and criminal news - of - the - weird that hits the appellate courts.

He also advises clients on various capital markets transactions to ensure compliance with federal securities laws governed by the U.S. Securities and Exchange Commission (SEC).

Representation of audit committee of a publicly traded company in a corporate investigation involving potential violations of federal securities laws regarding insider trading

I have guided several dozen U.S. public companies and foreign private issuers in complying with federal securities law periodic reporting requirements and new regulations including the JOBS Act, the Dodd - Frank Act and the Sarbanes - Oxley Act.

Federal securities laws play a central role in the company's communications with its shareholders and other investors, requiring complete and fair disclosures of information that would be important to a reasonable investor in making decisions about the company's securities.

The SEC reiterated that warning earlier this week, reminding startup companies that labeling your token as a «utility» is insufficient in sidestepping federal securities laws.

Federal securities laws generally require that instruments constituting «securities» are registered with the SEC in order to protect investors by ensuring public access to key information needed for making an informed investment decision.

In particular, the regular is clamping down on initial coin offerings (ICOs) attempting to override federal securities laws.

The SEC has warned token issuers that classifying a cryptocurrency as a «utility» token is not enough to circumvent federal securities laws.

Clayton went on to condemn the promoters, attorneys and other related professionals who flout federal securities laws by putting the form of their offerings over the substance of what they really are: investments, stating, «We should regulate [ICOs] like we regulate securities offerings.

The parties intend to follow the tZERO roadmap by offering a security token in accordance with U.S. federal securities laws requirements with subsequent trading to occur on the tZERO trading platform.