Sentences with phrase «regulated under federal securities laws»

Due to the fact that these separate accounts are investments in securities, such as stocks, these policies are regulated under the federal securities laws.

Because of investment risks, variable policies are considered securities contracts and are regulated under the federal securities laws; therefore, they must be sold via a prospectus.

Since you can generally choose from a variety of investments within the investment component of your coverage and returns are never guaranteed, variable life insurance is regulated under federal securities laws.

Due to inherent investment risks, Variable Life policies are deemed securities contracts and are regulated under the federal securities laws.

Due to the fact that these separate accounts are investments in securities, such as stocks, these policies are regulated under the federal securities laws.

These policies are considered to be securities contracts, which are regulated under federal securities law, and are required to be offered with a prospectus.

Not exact matches

Last month, the federal government released guidelines to regulate online taxi companies, saying they should do stringent security checks and not contract anyone convicted of a «cognizable offense» under India's criminal laws.

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.

Under federal law, in particular the Investment Advisers Act of 1940, investment advisers are regulated by the Securities and Exchange Commission (SEC) or appropriate state authorities and are required to provide services to their customers under the fiduciary stanUnder federal law, in particular the Investment Advisers Act of 1940, investment advisers are regulated by the Securities and Exchange Commission (SEC) or appropriate state authorities and are required to provide services to their customers under the fiduciary stanunder the fiduciary standard.

Broker - dealers are also regulated under federal law, including under the Securities Exchange Act of 1934, but are not required to provide services to their clients under the fiduciary standard of care.