Sentences with phrase «federal securities rules»

In this capacity, FINRA writes and enforces its own rules, as well as enforcing federal securities rules and laws.

Under federal securities rules, public companies aren't supposed to disclose «material information» about their business performance unless it's made widely available to the public, noted Stephen Diamond, an associate professor who teaches securities law at Santa Clara University.

Utilized knowledge of International Customs laws, regulations, policies and procedures related to admissibility, control, entry and export of merchandise, and ensured compliance with all federal security rules and regulations pertaining to the classified document control system.

Not exact matches

Stengel is joined on stage by Doug Ellenoff, a corporate and securities attorney with a specialty in business transactions and corporate financing who has been actively involved in working with federal government agencies as the rules are being rewritten, and Pelli Wang (on the right end of the couch), the venture director at SeedInvest, a leading equity crowdfunding platform and early - stage VC fund.

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 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.

On Tuesday, the Federal Communications Commission voted to move forward with a new rule to block federal subsidies from telecommunications equipment suppliers that «raise national security concerns.Federal Communications Commission voted to move forward with a new rule to block federal subsidies from telecommunications equipment suppliers that «raise national security concerns.federal subsidies from telecommunications equipment suppliers that «raise national security concerns.»

The Fraser Institute is calling on the federal government to further tighten Old Age Security eligibility rules in an effort to «to better target lower and middle - income seniors.»

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.

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.

WASHINGTON, March 26 - Federal Communications Commission Chairman Ajit Pai on Monday said he was proposing new rules to bar the use of funds from a government program to purchase equipment or services from companies that pose a security threat to U.S. communications networks.

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.

Plaintiff seeks to recover compensable 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 tsecurities 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 tSecurities Exchange Act of 1934 (the «Exchange Act») and Rule 10b - 5 promulgated thereunder.

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.

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.

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

The federal government is in danger of losing the clear support of a key provincial ally in its bid to have the Supreme Court of Canada rule that Ottawa has the constitutional power to establish a national securities regulator.

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.

However, as part of the federal JOBS Act of 2012, Congress instructed the Securities and Exchange Commission to implement rules allowing general solicitation in a private offering if securities are sold only to accredited Securities and Exchange Commission to implement rules allowing general solicitation in a private offering if securities are sold only to accredited securities are sold only to accredited investors.

As such, most 506 (b) offerings are only sold to accredited investors (even though the Rule allows for the sale of up to 35 non-accredited investors), as the sale to any unaccredited investors requires significantly heightened disclosure to such investors, which can be costly and burdensome to provide, and may increase the exposure of an issuer to liability under federal and state securities acts.

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).

It does not discuss all aspects of U.S. federal income taxation that may be relevant to particular holders in light of their particular circumstances or to holders subject to special rules under the Code (including, but not limited to, insurance companies, tax - exempt organizations, financial institutions, broker - dealers, partners in partnerships (or entities or arrangements treated as partnerships for U.S. federal income tax purposes) that hold HP Co. common stock, pass - through entities (or investors therein), traders in securities who elect to apply a mark - to - market method of accounting, stockholders who hold HP Co. common stock as part of a «hedge,» «straddle,» «conversion,» «synthetic security,» «integrated investment» or «constructive sale transaction,» individuals who receive HP Co. or Hewlett Packard Enterprise common stock upon the exercise of employee stock options or otherwise as compensation, holders who are liable for the alternative minimum tax or any holders who actually or constructively own 5 % or more of HP Co. common stock).

A federal judge in New York ruled in favor of the Securities and Exchange Commission's freeze on $ 27 million in assets held by three...

In a ruling on Tuesday, a federal district court in Manhattan approved a motion filed by the Securities and Exchange Commission (SEC) to grant a preliminary injunction and a continued freeze on $ 27 million in assets owned by Andy Andy Altahawi, Dorababu Penumarthi, and Suresh Tammineedi, a trio associated with Longfin Corp..

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.

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

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.

Even if regulators do not act, when a presale results in nothing more than profits for its promoter, a disgruntled investor will inevitably make a private securities fraud claim to try and claw back some of their capital; assuming a court will determine a presale of digital tokens to be a private placement of securities, any such federal claim would fall under Rule 10b - 5.

On 6 August 2013, Federal Judge Amos Mazzant of the Eastern District of Texas of the Fifth Circuit ruled that bitcoins are «a currency or a form of money» (specifically securities as defined by Federal Securities Laws), and as such were subject to the court's jurisdiction, [274][274] and Germany's Finance Ministry subsumed bitcoins under the term «unit of account» — a financial instrument — though not as e-money or a functional currency, a classification nonetheless having legal and tax impsecurities as defined by Federal Securities Laws), and as such were subject to the court's jurisdiction, [274][274] and Germany's Finance Ministry subsumed bitcoins under the term «unit of account» — a financial instrument — though not as e-money or a functional currency, a classification nonetheless having legal and tax impSecurities Laws), and as such were subject to the court's jurisdiction, [274][274] and Germany's Finance Ministry subsumed bitcoins under the term «unit of account» — a financial instrument — though not as e-money or a functional currency, a classification nonetheless having legal and tax implications.

Guidepost Solutions, a global leader in compliance, investigations, and security consulting, appointed J. William «Bill» Weinberg as managing director of its Federal Practice in Washington D.C. Weinberg will help clients navigate the complicated federal acquisition rules, pursue federal contracts, and successfully manage federal conFederal Practice in Washington D.C. Weinberg will help clients navigate the complicated federal acquisition rules, pursue federal contracts, and successfully manage federal confederal acquisition rules, pursue federal contracts, and successfully manage federal confederal contracts, and successfully manage federal confederal contracts.

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.

The proposed rules would impose oppressive disclosure requirements upon activists that far exceed the scope of disclosure requirements already established under federal securities laws.

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.

A federal judge ruled against the Trump administration's decision to end a program protecting some young immigrants from deportation, calling the Department of Homeland Security's rationale against the program «arbitrary and capricious.»

«We strongly belief that President Buhari, must be seen to be acting contrary to court decisions on the use of Military during elections as clearly stated in the rulings of Justice Aikawa of the Federal High Court, who in his judgment, restrained the President and Commander - in - Chief of the Armed Forces of the Federal Republic of Nigeria and INEC from engaging the service of the Nigerian armed forces in the security supervision of elections in any manner whatsoever in any part of Nigeria, without the Act of the National Assembly.

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.

State Attorney General Eric Schneiderman filed a letter with the Federal Communications Commission regarding its proposed rulemaking to establish privacy rules for Broadband Internet Access Service providers, offering several recommendations designed to maximize consumer choice, transparency, and security.

The fate of former National Security Adviser (NSA) Col. Sambo Dasuki is set to be decided upon as an Abuja High Court will on Monday February 8, 2016 rule on whether to discharge him or not from the criminal charges brought against him by the Federal Government.

The court making this known on Monday has also stalled ruling on an application by federal government for a Secret Trial of the immediate past National Security Adviser (NSA).

Meanwhile the court ruling on an application by federal government for a Secret Trial of the immediate past National Security Adviser is still being awaited.

FG vs Ex-NSA: Dasuki Wins Round One on the Release of Passport... Court Grants Dasuki Permission To Travel For Medical Reasons The immediate past National Security Adviser (NSA), Col. Sambo Dasuki (rtd) has floored the Federal Government and Department of State Service (DSS) in one of the first ruling of Federal High Court (FHC) sitting -LSB-...]

The Sultan Ibrahim Dasuki Progressive Association (SIDPA), for and on behalf of the entire members of Sultan Dasuki family, wish to request the Federal Government, under the leadership of Muhammadu Buhari, to respect the rule of law in the case of our son, brother and cousin and the former National Security Adviser (NSA), Col. Sambo Dasuki (rtd) to release him from detention

A rule of the federal Municipal Securities Rulemaking Board (MSRB) prohibits bond work from going to financial firms that make campaign contributions to public officials who control bond decisions.

«Building on the innovative legacy of the New Deal, this report describes a far - reaching, two-fold agenda to tame the growth of wealth among the top one percent and establish rules and institutions that ensure security and opportunity for the middle class,» reads the document, which calls for the federal government to adopt several recommendations, including childcare subsidies and universal pre-K.

Federal tax rules for nonemployees cause most postdocs to be ineligible to contribute monies to IRA retirement accounts; furthermore, no money is contributed on their behalf to Social Security.

Comply with relevant state and federal law and other local rules which relate to records use, security, dissemination, retention / destruction.

``... 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:

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.

First Responder Bonus Cash - $ 1,000 Bonus Cash offer exclusively for First Responders serving communities with the following jobs: Eligible Customers: Police - Police Officer - Sheriff / Sheriffx2019s Deputy - Correctional Officer - State Trooper - Federal Law Enforcement officer (Example: Customs, Homeland and Security, etc.) Fire Department - Career Firefighter - Volunteer Firefighter EMT - EMT - Paramedic - Customers will now be directed to www.fordspecialoffer.com/firstresponders to register and be validated online for their First Responders eligibility according to the program rules PRIOR to purchasing their vehicle.