Sentences with phrase «other federal securities laws»

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.

Not exact matches

Other than as required under U.S. federal securities laws or Canadian securities laws, we do not assume a duty to update these forward - looking statements, whether as a result of new information, subsequent events or circumstances, change in expectations or otherwise.

The federal securities laws provide disclosure requirements and other important protections of which investors should be aware.

«These and other services offered by platforms may trigger other registration requirements under the federal securities laws, including broker - dealer, transfer agent, or clearing agency registration, among other things,» the statement said.

The plan administrator has discretion, however, to establish written conditions and procedures for the transfer of awards to other persons or entities, provided that such transfers comply with applicable federal and state securities laws and are not made for value, other than nominal value or certain transfers to family members.

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.

A bill currently in the US Senate would call on federal personnel, including from the Department of Homeland Security, to develop and share with other law enforcement bodies a threat assessment describing how cryptocurrencies could be used to support terrorist activity.

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.

Any repurchases made under the Repurchase Program would be made on a national securities exchange at the prevailing market price, subject to exchange requirements regarding volume, timing and other limitations under federal securities laws.

Except as required by the federal securities laws, NHF does not undertake any obligation to publicly update or revise any forward - looking statements, whether as a result of new information, future events, changing circumstances or any other reason after the date of this press release, except as required by law.

«A review of these documents conducted by my staff has identified 11 separate FCIC referrals of individuals or corporations to DOJ in cases where the FCIC found «serious indications of violations [s]» of federal securities or other laws.

As the Supreme Court of Canada has confirmed, a law aimed at suppressing or reducing an «evil» or addressing a public concern relating to peace, order, security, morality, health, or some other similar purpose is a valid exercise of the federal government's criminal law power.

Any repurchases made under this program would be made on a national securities exchange at the prevailing market price, subject to exchange requirements regarding volume, timing and other limitations under federal securities laws.

He litigated major law reform and class action cases in the federal court of appeals and Supreme Court on Social Security, Medicaid, Aid to Families with Dependent Children, SNAP / Food Stamps and other public benefits issues, and the rights of children born out of wedlock.

A new interactive online tool, launched today by AAAS, makes it easier to spot U.S. federal funding trends such as the continuing rise in mandatory spending for programs such as Social Security with spending levels set by law, a shift which has left a smaller percentage of the overall federal budget for science and other so - called «discretionary» expenses.

It places a binding cap on discretionary spending, which accounts for roughly one - third of the $ 3.5 trillion that the federal government spends annually (the other two - thirds goes to entitlement programs such as Medicare and Social Security, other kinds spending required by law, and paying interest on the national debt).

There's the ongoing special - counsel investigation into whether the Trump campaign aided a Russian campaign to aid Trump's candidacy and defeat his Democratic rival, Hillary Clinton; there's the associated inquiry into whether the president obstructed justice when he fired former FBI Director James Comey, whom he had asked not to investigate his former national - security adviser; there are the president's hush - money payments to women with whom he allegedly had extramarital affairs, made through his personal attorney, Michael Cohen, and facilitated by corporate cash paid to influence the White House; there is his ongoing effort to interfere with the Russia inquiry and politicize federal law enforcement; there are the foreign governments that seem to be utilizing the president's properties as vehicles for influencing administration policy; there's the emerging evidence that Trump campaign officials sought aid not only from Russia, but from other foreign countries, which may have affected Trump's foreign policy; there are the ongoing revelations of the president's Cabinet officials» misusing taxpayer funds; there is the accumulating evidence that administration decisions are made at the behest of private industry, in particular those in which Republican donors have significant interests.

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

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.

As allowed by law, FMCSA may also share with other federal agencies PII in SAFETYNET to assist with national security or other compliance activities.

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.

Glass - Steagall Act of 1939: The federal law that prohibited banks from acting as dealers or underwriters in any securities other than general obligation municipal bonds.

Federal law related to the collection of debts owed to the government requires ED to request that the U.S. Department of the Treasury withhold money from your federal income tax refunds, Social Security payments (including Social Security disability benefits), and other federal payments to be applied toward repayment of your defaulted federal studenFederal law related to the collection of debts owed to the government requires ED to request that the U.S. Department of the Treasury withhold money from your federal income tax refunds, Social Security payments (including Social Security disability benefits), and other federal payments to be applied toward repayment of your defaulted federal studenfederal income tax refunds, Social Security payments (including Social Security disability benefits), and other federal payments to be applied toward repayment of your defaulted federal studenfederal payments to be applied toward repayment of your defaulted federal studenfederal student loan.

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.»

(b) engaged as an «investment advisor» as that term is defined in Section 201 (11) of the Investment Advisor's Act of 1940 (whether or not registered or qualified under that Act), nor (c) employed by a bank or other organization exempt from registration under Federal and / or state securities laws to perform functions that would require him or her to be so registered or qualified if he or she were to perform such functions for an organization not so exempt.

For an investment fund, an exemption from specified provisions of the Investment Company Act or other relevant federal securities laws granted by the SEC.

You agree to promptly notify ChoiceTrade in writing if you are now or if you become: (a) registered or qualified with the Securities Exchange Commission, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (b) engaged as a «registered investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not Securities Exchange Commission, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (b) engaged as a «registered investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not securities agency, any securities exchange or association, or any commodities or futures contract market or association; (b) engaged as a «registered investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not securities exchange or association, or any commodities or futures contract market or association; (b) engaged as a «registered investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not so exempt.

«Credit Services Organization» does not include any of the following: (i) a 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, or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program under the National Housing Act (12 U.S.C. Section 1701 et seq.); (ii) a bank or savings and loan association whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Federal Savings and Loan Insurance Corporation, or a subsidiary of such a bank or savings and loan association; (iii) a credit union doing business in this State; (iv) a nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986, [FN1] provided that such organization does not charge or receive any money or other valuable consideration prior to or upon the execution of a contract or other agreement between the buyer and the nonprofit organization; (v) a person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (vi) a person licensed to practice law in this State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed under the Illinois Residential Mortgage License Act of 1987.

These services include providing assisting in the supervising of relations with custodians, transfer and pricing agents, accountants, underwriters and other persons dealing with the Funds; assisting in the preparing of all general shareholder communications and conducting shareholder relations; assisting in maintaining the Funds» records and the registration of each Fund's shares under federal securities laws and making necessary filings under state securities laws; assisting in developing management and shareholder services for the Funds; and furnishing reports, evaluations and analyses on a variety of subjects to the Trustees.

Current federal tax law requires the holder of a U.S. Treasury or other fixed income zero coupon security to accrue as income each year a portion of the discount at which the security was purchased, even though the holder receives no interest payment in cash on the security during the year.

The fund may buy securities of other investment companies, including those of foreign issuers, in compliance with the requirements of federal law or any SEC exemptive order.

While these securities do not pay current cash income, federal income tax law requires the holders of zero - coupon, step - coupon, and pay - in - kind securities to include in income each year the portion of the original issue discount (or deemed discount) and other non-cash income on such securities accruing that year.

You will not, and will not allow or authorize others to, use the Services or the Sites to take any actions that: (i) infringe on any third party's copyright, patent, trademark, trade secret or other proprietary rights or rights of publicity or privacy; (ii) violate any applicable law, statute, ordinance or regulation (including those regarding export control); (iii) are defamatory, trade libelous, threatening, harassing, invasive of privacy, stalking, harassment, abusive, tortuous, hateful, discriminatory based on race, ethnicity, gender, sex or disability, pornographic or obscene; (iv) interfere with or disrupt any services or equipment with the intent of causing an excessive or disproportionate load on the Animal League or its licensors or suppliers» infrastructure; (v) involve knowingly distributing viruses, Trojan horses, worms, or other similar harmful or deleterious programming routines; (vi) involve the preparation and / or distribution of «junk mail», «spam», «chain letters», «pyramid schemes» or other deceptive online marketing practices or any unsolicited bulk email or unsolicited commercial email or otherwise in a manner that violate the Controlling the Assault of Non-Solicited Pornography and Marketing Act (CAN - SPAM Act of 2003); (vii) would encourage conduct that could constitute a criminal offense, give rise to civil liability or otherwise violate any applicable local, state, federal or international laws, rules or regulations; (viii) involve the unauthorized entry to any machine accessible via the Services or interfere with the Sites or any servers or networks connected to the Sites or disobey any requirements, procedures, policies or regulations of networks connected to the Sites, or attempt to breach the security of or disrupt Internet communications on the Sites (including without limitation accessing data to which you are not the intended recipient or logging into a server or account for which you are not expressly authorized); (ix) impersonate any person or entity, including, without limitation, one of the Animal League's or other's officers or employees, or falsely state or otherwise misrepresent your affiliation with a person or entity; (x) forge headers or otherwise manipulate identifiers in order to disguise the origin of any information transmitted through the Sites; (xi) collect or store personal data about other Animal League members, Site users or attempt to gain access to other Animal League members information, or otherwise mine information about Animal League members, Site users, or the Sites; (xii) execute any form of network monitoring or run a network analyzer or packet sniffer or other technology to intercept, decode, mine or display any packets used to communicate between the Sites» servers or any data not intended for you; (xiii) attempt to circumvent authentication or security of any content, host, network or account («cracking») on or from the Sites; or (xiv) are contrary to the Animal League's public image, goodwill, reputation or mission or otherwise not in furtherance of the Animal Leagues stated purposes.

As your new business may be subject to federal and / or state securities laws, you may need to consult an attorney or other advisor for further information.

Often lauded as «practical» by her clients who appreciate her «realworld» advice, Jill focuses her practice on HIPAA and other federal and state privacy and security laws, the implementation and use of electronic health records and health information technology, and compliance with the federal Stark Law and the federal Anti-Kickback Statute.

Gorelick (pictured above left) said she is «completing the work» that Kushner — US president Donald Trump's son - in - law — originally hired her to do before Trump took office, such as handling Kushner's ethics compliance, security clearance and other federal disclosures.

Local police forces and other law enforcements agencies such as C.S.I.S. (Canadian Security Intelligence Service), FBI (Federal Bureau of Investigation) and the C.I.A. (Central Intelligence Agency) frequently patrol the internet and chat rooms where criminal activity is notorious for occurring.

The Employee Retirement Income Security Act (ERISA) is a federal law that regulates how employers and other fiduciaries handle retirement plans as well as employee insurance and benefits.

Introducing Wolters Kluwer Securities Regulation Daily — a daily news service created by attorneys for attorneys — providing same - day coverage of breaking news and developments for federal and state securities, the latest securities - related rulemaking, updates on litigation, and a wealth of other SEC activity, plus a complete report of the daily securities law news that affects ySecurities Regulation Daily — a daily news service created by attorneys for attorneys — providing same - day coverage of breaking news and developments for federal and state securities, the latest securities - related rulemaking, updates on litigation, and a wealth of other SEC activity, plus a complete report of the daily securities law news that affects ysecurities, the latest securities - related rulemaking, updates on litigation, and a wealth of other SEC activity, plus a complete report of the daily securities law news that affects ysecurities - related rulemaking, updates on litigation, and a wealth of other SEC activity, plus a complete report of the daily securities law news that affects ysecurities law news that affects your world.

John Klamann has been lead Class Counsel in a certified class action cases involving the Employee Retirement Income Security Act (ERISA), federal and State securities anti-fraud laws and regulations, environmental contamination and toxic exposures, real estate, proprietary school litigation, and other collective action cases.

Exceptional revocation cases that raise complex issues of fact and law, such as those involving war crimes and crimes against humanity, as well as cases regarding security, other human or international rights violations and organized criminality, would instead be decided by the federal court.

Your level of server security is your decision - and be sure to consider state / federal laws which may apply to certain information, like financial data - to make in order to protect the material from others that you have copyright permissions to serve to users.

These are collections of the key federal laws, rules, regulations and agency materials related to specific types of corporate matters such as securities offerings, SEC disclosures and reporting requirements, proxy solicitation and others.

For our public clients, we provide essential guidance on an ongoing basis regarding compliance with filing, disclosure, and other requirements under state and federal securities laws.

At the federal level, a number of agencies including the Federal Bureau of Investigation (FBI) the Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC), and others enforce related federafederal level, a number of agencies including the Federal Bureau of Investigation (FBI) the Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC), and others enforce related federaFederal Bureau of Investigation (FBI) the Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC), and others enforce related federalfederal laws.

He has extensive experience in representing a major media company, financial institutions, brand name pharmaceutical manufacturers, accounting firms, law firms, and a variety of other companies and professionals in federal and state litigation, including in matters involving antitrust law, securities law, corporate governance, pharmaceutical pricing, contract disputes, accountants liability, legal malpractice and communications law.

The U.S. Securities and Exchange Commission «holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United StatSecurities and Exchange Commission «holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United Statsecurities laws, proposing securities rules, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United Statsecurities rules, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United Statsecurities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United Statsecurities markets in the United States.»

881, 15 U.S.C. 78a - 78kk)(the «Exchange Act») and that, «depending on the facts and circumstances», the same can be said of other virtual currencies, rendering them subject to federal securities laws.

Mr. Economon has extensive transactional experience with various mergers & acquisitions, asset and stock purchases, corporate and entity reorganizations and recapitalizations, as well as the sale / purchase of securities and other financial facilities, and the accompanying compliance with state and federal securities laws.

Some state laws (such as those in New Jersey and New York) may not expressly target PHI breaches in the same manner as HIPAA and other federal data privacy and security regulations, but they may have similarly sharp teeth.