Sentences with phrase «federal securities regulations»

One of them is asset - backed securities which means it represents the physical or virtual goods of that token, subject to federal securities regulations.

Significantly, the SEC's charges against AriseBank were filed one day after SEC Chairman Jay Clayton and CFTC Chairman J. Christopher Giancarlo wrote an op - ed chastising many ICO industry participants for nakedly violating federal securities regulations and investor protection rules.

(Note: This press release contains forward - looking statements within the meaning of federal securities regulations.

To do this, however, the fund needs to set up an infrastructure, hire management and advisory staff, and comply with a huge list of federal securities regulations.

It's good to see that CIT Bank doesn't seem to just settle for what is required of it in regards to federal security regulations.

«Shared Solar: Current Landscape, Market Potential, and the Impact of Federal Securities Regulation.»

Thus, whether the exchanges complied with their own rules is sufficiently significant to the development of a uniform body of federal securities regulation to satisfy the requirement of importance to the federal system as a whole, according to the court.

As I discussed in my first post, a litigation finance contract may qualify as an «investment contract» subject to a federal securities regulation.

Due to constraints on developer resources, researched technical solutions to ensure federal security regulations would be met.

Not exact matches

«A federal capital markets regulatory framework would be applied consistently on a national basis and would not displace provincial securities commissions, which would still manage the day - to - day regulation of securities activities.»

For now, the new rules are limited to specific defense contractors, but it may not be long before the government implements more regulations on all federal contractors as it pushes for companies to adopt higher security standards, cybersecurity experts said.

FA is responsible for FAR's [Federal Aviation Regulations], security, bags, seat dupes, unams [unaccompanied minors], exit row criteria, checking bags, looking for over-served people [drunks], scanning for people who might be a security threat, answering passengers» questions etc,» said the Flight Attendant.

Indeed, just days before the U.S. startup visa was to be implemented last July, the Department of Homeland Security published a rule in the Federal Register, delaying the implementation until March 2018 and stating it intended to rescind the regulation altogether.

Even with the act's regulations in place, there will probably be lingering questions about whether crowdfunding sites are serving merely as information portals or as securities broker - dealers that must register with federal regulators.

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 proposed amendment to Chapter 45 by adding Section 30 (21 VAC 5-45-30) provides for a notice filing for securities issuers that are using federal Regulation A for offerings up to $ 50 million in a 12 - month period.

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.

On September 17, 2015, the Washington Securities Division announced that it had adopted a final rule to require notice filings in connection with Tier 2 securities offerings under federal RegSecurities Division announced that it had adopted a final rule to require notice filings in connection with Tier 2 securities offerings under federal Regsecurities offerings under federal Regulation A.

Following the primary dealer meetings, we solicit advice from the Treasury Borrowing Advisory Committee (a committee of the Securities Industry and Financial Markets Association (SIFMA) falling under the regulations of the Federal Advisory Committee Act and the Government Securities Act).

The Washington State Securities Division is considering proposing to amend WAC 460 - 44A to make ministerial updates to account for amendments to federal Regulation D.

Member Regulation examines all firms for compliance with FINRA, MSRB and SEC rules, and federal securities laws.

Conceptually, it is an impartial entity for the enforcement and implementation of federal legislature and regulations pertaining to securities and tradable assets; as well as national stock and options exchanges.

Douglas Hyndman, who heads the Canadian Securities Transition Office that Flaherty set up to push this file, even told Maclean's in an email that the Supreme Court, by directing federal policy - makers to consider regulating systemic risks, shifted their attention «precisely where Canada needs to do a better job to get regulation right.»

Full criteria are available through Code of Federal Regulations, Title 17 — Commodity and Securities Exchanges, Chapter I, Part I, Section 1.3, section (m).

-- The Securities and Exchange Commission shall revise the holding require - ment for a shareholder to be eligible to submit a share - holder proposal to an issuer in section 240.14 a — 8 (b)(1) of title 17, Code of Federal Regulations, to --

-- The Securities and Exchange Commission shall revise section 240.14 a — 8 (i)(12) of title 17, Code of Federal Regulations to --

Arranging debt financing is less complicated because the company is not required to comply with federal and provincial securities laws and regulations.

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.

Debate over the high - profile litigation has roiled the Securities Industry and Financial Markets Association, one of several trade groups that sought to overturn the regulation in federal court in Dallas earlier this month.

These risks and uncertainties include food safety and food - borne illness concerns; litigation; unfavorable publicity; federal, state and local regulation of our business including health care reform, labor and insurance costs; technology failures; failure to execute a business continuity plan following a disaster; health concerns including virus outbreaks; the intensely competitive nature of the restaurant industry; factors impacting our ability to drive sales growth; the impact of indebtedness we incurred in the RARE acquisition; our plans to expand our newer brands like Bahama Breeze and Seasons 52; our ability to successfully integrate Eddie V's restaurant operations; a lack of suitable new restaurant locations; higher - than - anticipated costs to open, close or remodel restaurants; increased advertising and marketing costs; a failure to develop and recruit effective leaders; the price and availability of key food products and utilities; shortages or interruptions in the delivery of food and other products; volatility in the market value of derivatives; general macroeconomic factors, including unemployment and interest rates; disruptions in the financial markets; risk of doing business with franchisees and vendors in foreign markets; failure to protect our service marks or other intellectual property; a possible impairment in the carrying value of our goodwill or other intangible assets; a failure of our internal controls over financial reporting or changes in accounting standards; and other factors and uncertainties discussed from time to time in reports filed by Darden with the Securities and Exchange Commission.

FINRA's Market Regulation department oversees and regulates over-the-counter (OTC) trading of exchange - listed and non-exchange-listed securities for compliance with FINRA rules and federal securities laws.

Keep in mind that if a crypto token derives its value from an external, tradable asset that it is classified as a security token and becomes subject to federal / international securities regulations.

Each state has its own intrastate offering regulations, and exemptions for crowdfunding proposals must generally fall under this exemption or they are preempted by federal securities laws.

The types of debt securities held by money market mutual funds are required by federal regulation to be very short in maturity and high in credit quality.

In January, the House passed a bill requiring securities officials to conduct a cost - benefit analysis of any new rule — something that should have been done in the first place — and in February the president signed an executive order requiring the elimination of two federal regulations for every new one that's adopted.

They make a strong case for greater government regulation, especially by the federal Securities and Exchange Commission, as well as more stringent oversight on the part of corporate boards of directors.

As one of the most highly regulated food industries in the United States, dairy must comply with regulations issued by multiple federal agencies, including the U.S. Food and Drug Administration, the U.S. Department of Agriculture, the U.S. Environmental Protection Agency, the U.S. Department of Homeland Security and the U.S. Department of Commerce, among other state and local regulatory bodies.

Tested at twice the federal regulations, this seat gives you the security of knowing your child is safe when traveling.

While both the McCain and Obama campaigns used every online tool available to them, the federal government is filled with restrictions on Web 2.0 technology, due to privacy regulations, Congressional intervention and IT security concerns.

Identify a state - level official who is responsible for privacy, data security, and compliance with all federal and state privacy laws and regulations

Violation of test security is a serious matter with far - reaching consequences... A breach of test security may be dealt with as a violation of the Code of Professional Responsibility for Teachers, as well as a violation of other pertinent state and federal law and regulation.

``... any non-Federal qualified institutional buyer (as defined in Section 230.144 A (a) of Title 17, Code of Federal Regulations (or any successor regulation), known as Rule 144A (a) of the Securities and Exchange Commission and issued under the Securities Act of 1933 (15 U.S.C. 77a et seq.)-RRB-, including:

We have had several inquiries about whether the DOJ advice to Federal prosecutors regarding pursuing criminal cases will have an impact upon the Department of Transportation's longstanding regulation about the use of marijuana by safety ‐ sensitive transportation employees — pilots, school bus drivers, truck drivers, train engineers, subway operators, aircraft maintenance personnel, transit fire ‐ armed security personnel, ship captains, and pipeline emergency response personnel, among others.

Airport development means --(1) Any work involved in constructing, improving, or repairing a public airport or portion thereof, including the removal, lowering, relocation, and marking and lighting of airport hazards, and including navigation aids used by aircraft landing at, or taking off from, a public airport, and including safety equipment required by rule or regulation for certification of the airport under section 612 of the Federal Aviation Act of 1958, and security equipment required of the sponsor by the Secretary by rule or regulation for the safety and security of persons and property on the airport, and including snow removal equipment, and including the purchase of noise suppressing equipment, the construction of physical barriers, and landscaping for the purpose of diminishing the effect of aircraft noise on any area adjacent to a public airport; (2) Any acquisition of land or of any interest therein, or of any easement through or other interest in airspace, including land for future airport development, which is necessary to permit any such work or to remove or mitigate or prevent or limit the establishment of, airport hazards; and (3) Any acquisition of land or of any interest therein necessary to insure that such land is used only for purposes which are compatible with the noise levels of the operation of a public airport.

PHMSA and FRA issued a supplementary safety advisory, Safety Advisory 2013 - 07, on November 20, 2013, to emphasize the importance of proper characterization, classification, and selection of a packing group for Class 3 materials (flammable liquids, including petroleum crude oil), and to reinforce the need to follow the Federal hazardous materials regulations for safety and security planning.

FMCSA's contractor is subject to routine audits by DOT / FMCSA privacy officials and the FMCSA Information Technology (IT) Security Team to ensure compliance with the Privacy Act of 1974 and all other applicable Federal laws, regulations, and requirements.

We employ reasonable and appropriate security measures such as maintaining physical, electronic and procedural safeguards in compliance with applicable security requirements, including US federal and state regulations.

Creation science vs. evolution, Genetic engineering, Homelessness, Euthanasia & assisted suicide, Pledge of Allegiance, Endangered Species, Organ Donation, Aging Population, Civil Rights, Racial Profiling, Drunk driving, Human Rights, World population, Children's rights, Alcohol & drinking, Gay Marriage, Disabilities Act, Acid Rain, Gangs, Drunk Driving, Animal Experimentation, War On Drugs, Language Policy, Famine Relief Efforts, Intellectual Property, Creationism, Moral Decisions, Civil rights, Organ & body donation, Nuclear proliferation, Sweatshops, Tobacco, American Education Reform, Cameras in Courtrooms, Sex Education, Missile Defense System, Adoption, City Curfews, Legal System, Civil Liberties, Bilingual Education, Global warming, Violence in schools, Legalization of marijuana, Immigration, Violence, Juvenile Crime, Social Welfare, Peace, Space Exploration, Physician - Assisted Suicide, Consumer Protection, Islamic Fundamentalism, Fathers» / Mothers» Rights In Divorce, Racial profiling, AIDS, Censorship, Environmental protection, Gun control, Affirmative action, Islamic Fundamentalism, Human Cloning, Minimum Wage, Dating Campus Issues, Campaign Finance Reform, Immigration, Garbage And Waste, Iraq, Fat Tax On Food, Federal Deficit, Family Violence, Agriculture Technology, Afghanistan, Smoking, Animal rights, Gender issues, Ethnic Violence, Intellectual Property, Foreign Policy, Dieting, Drug Policy, Social Welfare, War Crimes, Bilingual Education, Surrogate Mothers, Health Care System, Peer Pressure, Human Cloning, Speed Limits, Poverty, Same sex marriage, Homosexuality, Government vs. religion, Famine, Cuba, Amnesty, Endangered Oceans, Gay Rights, Legal System, Learning Disabilities, Islamic Fundamentalism Oceans, Living Wills, Biodiversity, Bio Fuels, Fraud, Garbage And Waste, Africa Aid, Women in the Military, Minorities, Pro Choice Movement, Zero Tolerance, Hate Crime, Antarctica Research, Gay Parents, Medical Ethics, Homeland Security, Terrorism, Binge drinking, Abortion, Welfare, Prayer in schools, Gangs, Death Penalty, Depression, Race Relations, Climate Change Policy, Agricultural Policy, Domestic Violence, Endangered, Endangered Species, Mass media Regulation, Conserving The Environment, Government Deregulation, Food Safety, Addiction, Gay Marriages, Academic Dishonesty, Organized Crime, Women's Rights, Chain Gangs, Anorexia Treatment, Water Pollution, Internet Hate Speech, Airline Safety Rules, Polygamy, Oil Spills, Legal System, Youth Violence, Computer Games.

(B) «Credit repair services organization» does not include: (i) Any person authorized to make loans or extensions of credit under the laws of this state or the United States who is subject to regulation and supervision by this state or the United States; (ii) Any bank or savings and loan institution whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Savings Association Insurance Fund of the Federal Deposit Insurance Corporation; (iii) Any nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986; (iv) Any person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (v) Any person licensed to practice law in this state if the person renders services within the course and scope of his or her practice as an attorney; (vi) Any broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission if the broker - dealer is acting within the course and scope of those regulatory agencies; or (vii) Any consumer reporting agency as defined in the federal Fair Credit Reporting Act (15 U.S.C. 1681 - Federal Deposit Insurance Corporation or the Savings Association Insurance Fund of the Federal Deposit Insurance Corporation; (iii) Any nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986; (iv) Any person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (v) Any person licensed to practice law in this state if the person renders services within the course and scope of his or her practice as an attorney; (vi) Any broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission if the broker - dealer is acting within the course and scope of those regulatory agencies; or (vii) Any consumer reporting agency as defined in the federal Fair Credit Reporting Act (15 U.S.C. 1681 - Federal Deposit Insurance Corporation; (iii) Any nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986; (iv) Any person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (v) Any person licensed to practice law in this state if the person renders services within the course and scope of his or her practice as an attorney; (vi) Any broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission if the broker - dealer is acting within the course and scope of those regulatory agencies; or (vii) Any consumer reporting agency as defined in the federal Fair Credit Reporting Act (15 U.S.C. 1681 - federal Fair Credit Reporting Act (15 U.S.C. 1681 - 1681t).

Regulation T: The federal regulation governing extension of credit by broker / dealers to customers for trading sRegulation T: The federal regulation governing extension of credit by broker / dealers to customers for trading sregulation governing extension of credit by broker / dealers to customers for trading securities.