Sentences with phrase «regulatory authorities in every state»

The costs differ by state, so you should check with the proper regulatory authority in your state.

At the same time, a principal justification offered for vesting de jure regulatory authority in state supreme courts is in order to maintain the legal profession's independence from the government.

Not exact matches

The Securities and Exchange Commission has ultimate authority in setting up the rules regarding equity - based crowdfunding, but the SoMoLend case should be a very clear reminder that state securities» entities may be potent as a regulatory force.

According to the IRS, «two state agencies have regulatory authority over the trucking industry in each state: the Public Utilities Commission and the Department of Motor Vehicles.»

Any securities described herein may not be registered under the Securities Act or with any securities regulatory authority of any state or other jurisdiction and may not be offered, sold, pledged or otherwise transferred except to persons outside the U.S. in accordance with Regulation S under the Securities Act pursuant to the terms of such securities.

One particularly interesting part of Giancarlo's testimony was where he mentioned that «current law does not provide any U.S. Federal regulator with such regulatory oversight authority over spot virtual currency platforms operating in the United States or abroad.»

Morrison Cohen will also track the regulatory pronouncements of the Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority, and the New York State Department of Financial Services, in addition to «other regulatory announcements» including those made by executive order.

After the Real Estate (Regulation and Development) Act, 2016 (the «Act») was partially implemented in May 2016, it was incumbent on the states to draw up the rules for their respective states for carrying out the purpose of the Act and establishing the regulatory authority.

RIAs are eligible to participate in the Program if they represent to Fidelity Investments that they meet the following criteria: (1) RIA is an investment adviser registered and in good standing with the U.S. Securities and Exchange Commission and / or any applicable state securities regulatory authorities or is exempt from such registration; (2) RIA's representatives who provide services to referred clients are appropriately registered / licensed as «Investment Advisers Representatives» in required jurisdictions; (3) RIA charges fee - based, asset - based, or flat - rate investment advisory service fees (which may include hourly fees); (4) RIA will maintain a minimum of $ 350,000,000 in total regulatory assets under management, as reported in response to Item 5 in Part 1A of the RIA's Form ADV, throughout the duration of RIA's participation in the Program; (5) RIA and all associated persons of the RIA who manage client assets or who supervise such associated persons shall at all times be covered through both Errors and Omissions Liability Insurance and Fidelity Bond Coverage; and (6) RIA maintains a minimum of two principals or officers as well as a minimum of five employees.

Like other foods and beverages sold in the United States, energy drinks and their ingredients are regulated by regulatory authorities.

We are happy to report in response to a lawsuit filed against the Commonwealth's regulatory use of priority habitat screening to protect endangered species, the Massachusetts Supreme Judicial Court has ruled unanimously to affirm the state's authority under the Massachusetts Endangered Species Act (MESA).

And republicans, in addition, are concerned about many other issues: the discrimination faced by the LGBT community, consumers at the mercy of retailers or companies, Internet users at the mercy of providers or regulatory states, children at the mercy of their parents or teachers, the elder at the mercy of younger disrespectful citizens, the kid being bullied by a classmate at school, the prisoner abused by his jail mates or by the prison authorities, etc..

«The state should use its existing authority under our laws, as outlined above, to assert regulatory jurisdiction in order to protect the health and safety of New Yorkers and to protect the fragile water and lands of the Adirondack Park,» Janeway wrote.

Also at 3 p.m., Alcantara and Sen. Ruben Diaz Sr., Assemblyman Luis Sepúlveda and the Bodega Association introduce legislation to promote greater fairness in the regulatory enforcement methods of the New York state Liquor Authority, City Hall steps, Manhattan.

It states primary responsibility «must remain» with financial institutions and investors; calls for the reinforcement of regulatory and supervisory frameworks; and states the case for authorities in different counties to improve their cooperation.

In addition, with the EMEA being an E.U. body, staff members routinely interact with the European Commission, the different member states and their national regulatory authorities, and other E.U. institutions.

But the state's public utility commission, the only regulatory agency with authority to oversee the safety and operation of Con Edison's system, announced that it lacked jurisdiction to end the lockout or get involved in the negotiations.

The Department also should delete provisions in proposed rules that are unnecessary, outside the scope of ESSA, and establish regulatory requirements that effectively limit the authority of state leaders and local school board members.

In developing the nationally consistent approach to certification, AITSL consulted with all state and territory education authorities, national and local Catholic and Independent school authorities, teacher regulatory authorities, peak national bodies, including unions and principal associations, and practising teachers and principals

In total, 120 single and consolidated submissions were received from the Federal, State and Territory governments and regulatory authorities, education unions, professional peak bodies and individual schools and teachers.

In the face of a disaster or some other emergency situation, the FAA can and does use its regulatory authority and operational capabilities to sustain the NAS while supporting, often through the DOT - led Emergency Support Function 1 activities, response and recovery efforts undertaken by the Federal Emergency Management Agency and other Federal, State, local, tribal, and territorial interagency partners, as well as the private sector.

Important factors that could cause actual results to differ materially from those expressed or implied by such forward - looking statements include, without limitation, possible product defects and product liability, risks related to international sales and potential foreign currency exchange fluctuations, the initiation or outcome of litigation, acts or potential acts of terrorism, international conflicts, significant fluctuations of quarterly operating results, changes in Canadian and foreign laws and regulations, continued acceptance of RIM's products, increased levels of competition, technological changes and the successful development of new products, dependence on third - party networks to provide services, dependence on intellectual property rights, and other risks and factors detailed from time to time in RIM's periodic reports filed with the United States Securities and Exchange Commission, and other regulatory authorities.

In the United States, they were disallowed from any exchange listing in the 1980s because the Commodity Futures Trading Commission and the U.S. Securities and Exchange Commission were unable to decide which would have the regulatory authority over these productIn the United States, they were disallowed from any exchange listing in the 1980s because the Commodity Futures Trading Commission and the U.S. Securities and Exchange Commission were unable to decide which would have the regulatory authority over these productin the 1980s because the Commodity Futures Trading Commission and the U.S. Securities and Exchange Commission were unable to decide which would have the regulatory authority over these products.

Barclays and fifteen other global financial institutions came under investigation by a handful of regulatory authorities — including those of the United States, Canada, Japan, Switzerland, and the UK — for colluding to manipulate the Libor rate beginning in 2003.

The commissioner may enter into cooperative and reciprocal agreements with the regulatory authorities of the federal government or of any state for the periodic examination of persons engaging in the business of credit repair and may accept reports of examination and other records from such authorities in lieu of conducting his own examinations.

Any person practicing as a veterinary technician in New York state pursuant to this subdivision shall be subject to the personal and subject matter jurisdiction and disciplinary and regulatory authority of the board of regents as if he or she is a licensee and as if the exemption pursuant to this subdivision is a license.

-- Not later than June 30, 2013, and each calendar year thereafter through 2031, each electricity local distribution company shall submit a report to the Administrator, and to the relevant State regulatory authority or other entity charged with regulating or setting the retail electricity rates of such company, describing the disposition of the value of any emission allowances received by such company in the prior calendar year pursuant to this subsection and subsection (e), including --

For purposes of this subsection, «State - approved production incentive program» means a requirement imposed pursuant to State law, or by a State regulatory authority acting within its authority under State law, that an electric utility purchase renewable energy (as defined in section 609 of this Act) at a specified rate.».

The breakthrough is in how to lobby a state legislature and associated regulatory authorities into behaving irrationally.

In the U.S., electric markets come in three models: wholesale competitive markets such as PJM and CAISO; legacy state - regulated monopoly markets individually governed by regulatory commissions either appointed or elected; and public power systems, such as the Tennessee Valley Authority and Bonneville Power Administration, owned by governments or their consumerIn the U.S., electric markets come in three models: wholesale competitive markets such as PJM and CAISO; legacy state - regulated monopoly markets individually governed by regulatory commissions either appointed or elected; and public power systems, such as the Tennessee Valley Authority and Bonneville Power Administration, owned by governments or their consumerin three models: wholesale competitive markets such as PJM and CAISO; legacy state - regulated monopoly markets individually governed by regulatory commissions either appointed or elected; and public power systems, such as the Tennessee Valley Authority and Bonneville Power Administration, owned by governments or their consumers.

Because carbon offsetting is novel, abstract, and engages up to seven distinct stakeholders... project employees, project neighbors, regulatory authorities (State of Arkansas in this case), corporate project owner (Waste Management in this case), the broker (CCX in this case), the commercial buyer (TerraPass in this case), and the offset purchasers (TerraPass customers in this case), each of which has limited understanding of the other's respective circumstances and interests... we thought it might be helpful for our readers to look at an actual carbon emissions project up close, to meet one of the most distant stakeholders, a carbon credit seller.

«We are going to recognize the regulatory uncertainty and the regulatory state needs to be reined in, we're going to make sure the states are recognized for the authority they have, and we are going to do the work that's important to advance freedom and liberty for the future.

In that state, regulatory authority is spread among the various judicial departments, resulting in a Balkanized system that makes the development of regulatory initiatives more difficulIn that state, regulatory authority is spread among the various judicial departments, resulting in a Balkanized system that makes the development of regulatory initiatives more difficulin a Balkanized system that makes the development of regulatory initiatives more difficult.

Neil Lang represents public companies, their officers and directors, brokers, investment advisers and individuals in government and regulatory investigations, enforcement and litigation involving, among others, the Securities and Exchange Commission (SEC), the Department of Justice (DOJ), state regulatory agencies, the Financial Industry Regulatory Authority (FINRA) and private litigants.

In states with a voluntary bar association, the de jure regulatory authority (that is, the authority accorded by law) lies with a governmental entity, in most cases the state's Supreme Court or another governmental authority to whom the Court has delegated authoritIn states with a voluntary bar association, the de jure regulatory authority (that is, the authority accorded by law) lies with a governmental entity, in most cases the state's Supreme Court or another governmental authority to whom the Court has delegated authoritin most cases the state's Supreme Court or another governmental authority to whom the Court has delegated authority.

Since all farm - outs generally require formal approval by the designated host state authority, Hesse says that host states «will want to make sure that the transaction complies with its regulatory and fiscal regime in all respects», making them «a source of disputes where the return from the farm - out is treated as capital gains or windfall profits by the host state».

We regularly defend Fortune 500 companies and their executives and boards before every major federal and state regulatory enforcement authority and in courtrooms nationwide.

Clifford Chance has deep knowledge and extensive experience in advising companies experiencing a dawn raid conducted by regulatory authorities in Europe, Asia and the United States.

There is no need for a federal layer of regulatory authority over these lawyers, as was first proposed in this legislation, and the ABA, along with state and local bars and our concerned members, has been diligent in engaging and assisting Congress on this subject.

The American Bar Association and its nearly 400,000 members — indeed, all practicing lawyers in the United States — are gratified that the House and Senate conferees on the financial markets reform legislation have recognized the importance of maintaining the historic role of state supreme courts» regulatory authority over the practice of law.

Mr. Ramos advises clients on antitrust and competition law issues, with particular focus on the technology, media and entertainment industries, and has represented clients in litigation and before regulatory and enforcement authorities in the United States and Europe with respect to such matters.

In doing so, the ABA is able to deflect any argument that it should conduct itself as a true and effective regulatory authority — one that acts in a fully transparent manner and is accountable not to its members or to state and local bar associations, but to the public as a wholIn doing so, the ABA is able to deflect any argument that it should conduct itself as a true and effective regulatory authority — one that acts in a fully transparent manner and is accountable not to its members or to state and local bar associations, but to the public as a wholin a fully transparent manner and is accountable not to its members or to state and local bar associations, but to the public as a whole.

He is a litigator who defends clients before the United States Securities and Exchange Commission (SEC), the US Commodity Futures Trading Commission Financial Industry Regulatory Authority and other self - regulatory organisations, the Department of Justice, US attorneys» offices and in federal courts.

Morgan Lewis lawyers represent banks» securities interests before all major financial regulatory agencies, including the CFPB, OCC, FRB, UK Financial Conduct Authority (FCA), SEC, DOJ, CFTC, FINRA, and CBOE — and before key state agencies — on application, interpretive, supervisory, and compliance matters, as well as in formal and informal administrative enforcement actions.

Ms. Nettleton has extensive experience representing clients in connection with internal investigations as well as federal, state, and foreign governmental and regulatory investigations, including investigations by the Department of Justice, the Securities and Exchange Commission, the New York Stock Exchange, the Financial Industry Regulatory Authority, and the New York Attorney General's Office.

Recommended by Legal 500 and Chambers & Partners as a leading junior in Education law, Holly regularly advises on the full range of public and private education law matters, including special educational needs / disability discrimination, educational negligence, Academies, further and higher education issues, local authority policy matters, claims by and against state and independent school, regulatory matters, Ofsted and the OIA.

Labor and employment lawyers can be found in law firms, labor unions, corporate law departments, state and local governments, employee benefit funds, consulting firms, and a variety federal and state governmental regulatory agencies, including the EEOC, Department of Labor, National Labor Relations Board, Office of Labor - Management Standards, National Mediation Board, Federal Labor Relations Authority, and Occupational Safety and Health Administration.

The Task Force also recommends, correspondingly: (a) that the Section of Legal Education, in collaboration with state regulators, develop standards for accrediting these educational programs or else expressly defer to other bodies to do so; and (b) that state authorities regulating the practice of law develop licensing or other regulatory systems for the delivery of limited legal services, which assure quality but do not limit access or unduly raise the price of services.

wouldn't tell the public that the problem is not the Law Society's problem, as in effect it does; (15) LSUC's website wouldn't state that lay benchers «represent the public interest,» which is impossible now that we are well beyond the 19th century; (16) CanLII's services would be upgraded in kind and volume to be a true support service, able to have a substantial impact upon the problem, and several other developed support services, all provided at cost, would together, provide a complete solution; (17) LSUC's management would not be part - time management by amateurs - amateurs because benchers don't have the expertise to solve the problem, nor are they trying to get it, nor are they joining with Canada's other law societies to solve this national problem; (18) the Federation of Law Societies of Canada would not describe the problem as being one of mere «gaps in access to legal services» (see its Sept. 2012 text, «Inventory of Access to Legal Services Initiatives of the Law Societies of Canada» (1st paragraph), (19) LSUC would not be encouraging the use alternatives to lawyers, such as law students, self - help, and «unbundled, targeted» legal services, as a «cutting costs by cutting competence» strategy; and, (20) it would not be necessary to impose an Ontario version of the Clementi Report (UK, 2004) that would separate LSUC's regulatory functions from its representative functions, to be exercised by separate authorities.

We also actively defend or prosecute claims on behalf of companies in U.S. federal and state court systems and represent clients before numerous state and federal agencies, commissions, boards, and other regulatory and administrative authorities.