Sentences with phrase «file disclosures of»

Registration would require him to file disclosures of clients and fees.

(6) personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy; [does not apply to a requester seeking information pertaining only to himself or herself]

He also filed a disclosure of information with the counsel because, he said, «eliminating my role coordinating federal engagement and leaving my former position empty exacerbate the already significant threat to the health and the safety of certain Alaska Native communities.»

Not exact matches

Further, PDC urges you to carefully review and consider the cautionary statements and disclosures, specifically those under the heading «Risk Factors,» made in its Quarterly Report on Form 10 - Q, its Annual Report on Form 10 - K for the year ended December 31, 2016 (the «2016 Form 10 - K»), filed with the U.S. Securities and Exchange Commission («SEC») on February 28, 2017 and amended on May 1, 2018, and other filings with the SEC for further information on risks and uncertainties that could affect the Company's business, financial condition, results of operations, and prospects, which are incorporated by this reference as though fully set forth herein.

On March 7, after being fired as National Security Adviser, Flynn belatedly filed a FARA disclosure that revealed that, through his firm, Flynn Intel Group, he had worked in 2016 on behalf of Inovo BV, a firm based in Netherlands and owned by a Turkish businessman with links to the Turkish government.

CNN reporter Evan Pérez threw cold water on Scaramucci's claim that leaks of his disclosure information were a felony, saying «financial disclosure forms are filed with the Office of Government Ethics (OGE) and are not classified.»

Mandatory disclosures filed last year by members of Congress show that at least 268 of the 534 members of Congress have a net worth of $ 1 million or more.

In an August 10, 2009 hearing before Judge Rakoff in a case involving alleged disclosure issues at Bank of America (bac), Rakoff responded to the SEC's evasiveness by stating: «You are not going to be particularly effective with this court by telling me what I already know, namely, that you filed a rather uninformative bare bones complaint.»

The disclosures in the 10 - K filing reflect our continued commitment to transparency, even when all of the information or the final outcome of a matter may not be known just yet.

Elliott's disclosures came after Energy Future filed its new bankruptcy plan of reorganization on Friday.

Until disclosures last month that Comey had maintained a file of memos detailing his communications with Trump, including a February meeting in which the president allegedly pressed the then - director to shut down the bureau's investigation of former national security adviser Michael Flynn, the former director had been at the center of firestorm for his pre-election handling of the Hillary Clinton email investigation.

The company would have to file a notice with the regulatory department; pay a registration fee of $ 250; provide evidence of registration with FinCEN as a money services business; agree to not invest or pledge virtual currency in its custody or control on behalf of others or to engage in the exchange or transfer of legal tender; and prove its policies for reporting, disclosures, and compliance.

Lawrence S. Rosen, a lawyer representing Mr. Cohen, said in a statement on Wednesday that an arbitrator, who «found that Ms. Clifford had violated the agreement,» barred her from filing her lawsuit and making other disclosures of confidential information.

WASHINGTON U.S. President Donald Trump's nominee for Wall Street regulator Comptroller of the Currency bought financial stocks until he took office in November, according to financial disclosure documents filed with the Office of Government Ethics.

He served as vice president and secretary of Cambridge Analytica from June 2014 to August 2016, when he became chief executive of Trump's campaign, according to his publicly filed financial disclosure.

The SEC's corporate governance proposals call for increased disclosure about a company's «leadership structure» and an explanation as to why «the company believes it is the best structure for it at the time of the filing.»

Last week, I filed a claim for disclosure with the high court in London, and the company was served notice of my legal action.

Our customers may be aware that the U.S. government filed a civil petition yesterday in federal court seeking disclosure of all Coinbase U.S. customers» records over a three year period.

in the case of our directors, officers, and security holders, (i) the receipt by the locked - up party from us of shares of Class A common stock or Class B common stock upon (A) the exercise or settlement of stock options or RSUs granted under a stock incentive plan or other equity award plan described in this prospectus or (B) the exercise of warrants outstanding and which are described in this prospectus, or (ii) the transfer of shares of Class A common stock, Class B common stock, or any securities convertible into Class A common stock or Class B common stock upon a vesting or settlement event of our securities or upon the exercise of options or warrants to purchase our securities on a «cashless» or «net exercise» basis to the extent permitted by the instruments representing such options or warrants (and any transfer to us necessary to generate such amount of cash needed for the payment of taxes, including estimated taxes, due as a result of such vesting or exercise whether by means of a «net settlement» or otherwise) so long as such «cashless exercise» or «net exercise» is effected solely by the surrender of outstanding stock options or warrants (or the Class A common stock or Class B common stock issuable upon the exercise thereof) to us and our cancellation of all or a portion thereof to pay the exercise price or withholding tax and remittance obligations, provided that in the case of (i), the shares received upon such exercise or settlement are subject to the restrictions set forth above, and provided further that in the case of (ii), any filings under Section 16 (a) of the Exchange Act, or any other public filing or disclosure of such transfer by or on behalf of the locked - up party, shall clearly indicate in the footnotes thereto that such transfer of shares or securities was solely to us pursuant to the circumstances described in this bullet point;

To help support investor education, the SEC offers the public a wealth of educational information on this Internet website, which also includes the EDGAR database of disclosure documents that public companies are required to file with the Commission.

Instead of filing for an IPO, on Tuesday Cloudera put out a momentum press release that included the disclosure that its revenue topped $ 100 million in 2014.

The three lobbyists tapped by Dick's to push for gun control are listed by name in the federal disclosure forms, which are required by the Lobbying Disclosure Act of 1995 to be filed quarterly: Joel Johnson, who worked for both President Bill Clinton and Senate Democrat leadership; Andrew King, who worked for Sen. Lindsey Graham (R-S.C.)

Reuters: «Trump's nominee for Wall Street regulator Comptroller of the Currency bought financial stocks until he took office in November, according to financial disclosure documents filed with the Office of Government Ethics.

This year ICCR members filed 21 resolutions this year calling for greater lobbying expenditures disclosure at companies such as AT&T, Alphabet / Google, Bank of America, Chevron, Exxon Mobil, and Ford.

On top of that, his 13F filing had many Buffett - watchers scratching their heads at some of his portfolio moves during the last quarter, including his disclosures that he had sold big chunks of Procter & Gamble, Johnson & Johnson and ConocoPhillips (we thought these were «forever» holdings).

In the US and Canada, you must file your patent application within 12 months of your first public disclosure.

The disclosure came after a trio of institutional shareholders filed a lawsuit Tuesday seeking the release of the voting data.

As Common Cause alleged in its January complaints filed with the FEC and DOJ, the Trump campaign's failure to report this expenditure to the FEC would not only violate the campaign finance law disclosure requirements, 52 U.S.C. 30104, but would also violate the federal law prohibiting false statements of material fact to the federal government, 18 U.S.C. 1001.

There are a number of important factors that could cause actual results or events to differ materially from those indicated by such forward - looking statements, including, but not limited to: uncertainties involving interpretation of drilling results, environmental matters, lack of ability to obtain required permitting, equipment breakdown or disruptions, and the other factors described in Paramount's disclosures as filed with the SEC.

None of the ministries targeted — those led by Kenneth Copeland, Creflo Dollar, Benny Hinn, Eddie Long, Joyce Meyer, and Randy and Paula White — are required to file the financial disclosure Form 990 with the IRS because they are are designated as churches.

We hear a lot of stats from the counties about how many licensed gun owners have filed opt - out forms for public disclosure, but absolutely nothing about how many citizens are rushing in to register their «assault weapons.»

A Daily News review of the 25 Moreland Act Commission members found that five of them didn't follow state election law when filing their own campaign finance disclosure forms.

Kevin Powell, a former reality TV star and second - time primary challenger to Rep. Ed Towns, admitted in the wake of a DN report this morning that his failure to file required financial disclosure forms «was clearly not in line with my commitment to full disclosure.»

That's a question that lawyers and their bosses at the state Office of Medicaid Inspector General are hashing out after the agency's head, Dennis Rosen, calls for its 22 senior attorneys to file financial disclosure forms with JCOPE.

«Knowingly and willfully failing to file campaign finance disclosure reports with the New York State Board of Elections is a crime,» said Attorney General Schneiderman.

The end - of - campaign financial disclosure reports filed last week with the state Board of Elections show half of the spending in the county clerk and county sheriff campaigns occurred in the last two weeks leading up to the election.

Officials who must file disclosures are required to list debts in excess of $ 5,000 of their spouses and dependent children.

Banks reported the income on his final financial - disclosure form filed with the city's Conflict of Interest Board weeks after he stepped down.

DeFrancisco, has a total of $ 1.3 million in his two campaign committees, according to campaign financial disclosure reports filed Friday.

When Jeb Bush's campaign filed its first financial disclosure, some people focused on how a mere 3 percent of his donations — just $ 368,000 of the $ 11.4 million he collected in his first 15 days of campaigning — came from donors who gave $ 200 or less.

According to the most recent campaign disclosure forms on file, Ms. Fleming's campaign had raised $ 44,020 at the end of August and had $ 56,802 left, while Ms. Maertz hadn't raised anything in the most recent filing period and had a total of $ 3,206 remaining.

Data for this analysis came from campaign finance disclosures filed with the New York State Board of Elections from 2005 through 2014.

Though that transaction did not meet the dollar threshold generally required for disclosure of contractor payments, Heritage was required to note it on that filing due to Mercer's seat on the group's board.

«Yesterday, the campaign publicly disclosed its donors well in advance of the next scheduled filing, and will continue to comply with all state and federal laws, including disclosure requirements.»

Over 2,300 campaign committees filed late disclosure reports, 224 political clubs failed to register with the state, and 346 corporations donated more than the state's annual limit of $ 5,000 without any fines or legal repercussions.

Grassroots, one of Buffalo's most influential political organizations that is already under scrutiny by federal and state law enforcement agents, failed to file required financial disclosure reports, and its offshoot, Be the Change, didn't file, either.

Rangel was found to have misused federal resources to solicit donations for a City College of New York center named in his honor, used a rent - stabilized apartment for his campaign office, failed to pay taxes on a villa in the Dominican Republic and filed inaccurate financial disclosure forms.

This year, the governor downplayed the issue, listing it with a number of other steps he wants to take, including stricter penalties against bribery, creating an independent agency to police campaign filing violations and greater disclosure by lawmakers of their private law clients who have business before the state.

This could, of course, change when de Blasio — like all other 2013 candidates for any city office — file disclosure forms later this month that will cover any money received in the first half of this year.

Abelove's campaign committee, Friends of Joel Abelove, reported in its January disclosure filing that it had on hand $ 4,495.