Sentences with phrase «issues under the federal securities 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.
https://us.eversheds-sutherland.com/ Not exact matches
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.
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.
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.
Focus on the Data provides unique insights and practical guidance on privacy and data security issues under international, federal, state and local laws.
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.
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.
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.»