Sentences with phrase «regulatory authority of the state»

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.

It is also important to check with the insurance regulatory authority of the state to determine if the company is authorized to conduct business in the state.

Not exact matches

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.»

While currently blocked by the federal judiciary, the group says the Clean Power Plan should be redrawn to address concerns about regulatory overreach and the possibility of infringing on state authority.

These changes significantly restructured regulatory oversight and other aspects of the financial industry, created a new federal agency to supervise and enforce consumer lending laws and regulations and expanded state authority over consumer lending.

A multitude of federal agencies, self - regulatory organizations (SROs), and state authorities share oversight of the financial system under a framework riddled with regulatory gaps, loopholes, and inefficiencies.»

As such, we encourage the Committee to also devote time and attention to several issues that will help ensure the long - term stability of the individual market, including: Section 1332 waivers under the ACA; long - term stability funding; limiting third - party premium payments; and returning to the states more regulatory authority over the individual and small group markets.

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.

Any higher and the Colorado Department of Agriculture (CDA) or regulatory authority over most any United States Agricultural / Industrial Hemp program will consider it marijuana.

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.

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..

Humphrey's Executor v. United States (1935) did hold that officers of regulatory agencies, such as the FTC, are to be treated differently, but that's because of their quasi-legislative roles rather than because Congress can generally limit the President's firing authority.

«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.

The acting state inspector general's office released a report earlier this morning that found workers for the state Public Service Commission received $ 7,000 worth of meals and golf from entities under its regulatory authority.

Mark Gearan, the chairman of the state's top regulatory authority for gambling, announced on Monday he is stepping down from the post he's held for last year and a half.

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.

Last week Cuomo's counsel, Alphonso David, ordered the administration to cut off all contact with CPV, including «regulatory approvals for CPV or CPV Valley, any ongoing regulatory proceedings related to CPV or CPV Valley, or any other discussions of projects, proposals, lobbying, transactions, or other matters concerning New York State, its Executive Agencies or Authorities that pertain to CPV or CPV Valley.»

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.

The one - year extension was tied to opaque language about the State University of New York's regulatory authority over the charters it oversees — which include the city's major networks.

I am eager to begin collaborating with local families, businesses and elected officials to take action on my other legislative priorities for 2013, including creating jobs, reducing the size and cost of state government (e.g.) consolidation of the Thruway Authority within the Department of Transportation, regulatory reform and making the 2011 middle - class tax cut permanent.

«This is a real convergence of activity that will ensure we're on a robust path to make sure we get to ’40 by» 30,»» said John Williams, director of policy and regulatory affairs for the New York State Energy Research and Development Authority, referring to the state's goal of reducing emissions 40 percent by State Energy Research and Development Authority, referring to the state's goal of reducing emissions 40 percent by state's goal of reducing emissions 40 percent by 2030.

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.

These controlled releases are done with the permission of state and federal regulatory authorities.

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.

Senate HELP Chairman Lamar Alexander has been very vocal on SNS language citing that «the current provision language will require states to show how much they spend per student, which goes beyond the scope of the Dept. of Ed's regulatory authority.»

That is why we have begun to consider how to exercise our authority, if Congress does not reauthorize the ESEA soon, to invite requests for flexibility to support State and local reforms under section 9401 of the law, which authorizes the Department to waive most statutory and regulatory requirements if needed to «increase the quality of instruction for students; and improve the academic achievement of students.»

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.

Developing, issuing and enforcing safety regulations are a significant portion of PHMSA's work; however, PHMSA also conducts research, funds State regulatory authorities, emergency responders, and representatives of communities affected by hazardous materials transportation, and educates stakeholder groups — including the general public — through outreach initiatives and training.

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.

New York and other states have voiced their opposition to what they consider usurping of state regulatory authority.

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.

However outside the United States the situation is less clear and while a number of social trading networks are regulated by relevant regulatory authorities there is currently no requirement that networks themselves be regulated.

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.

If Congress were to not only eliminate EPA's regulatory authority, but take CO2 completely out of the Clean Air Act, it would still be up to the courts to decide whether or not that would eliminate state authority over vehicle tailpipe emissions.

-- 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.».

-- Notwithstanding any other provision of this Act or the Federal Power Act, a State legislature or regulatory authority may set the rates for a sale of electric energy by a facility generating electric energy from renewable energy sources pursuant to a State - approved production incentive program under which the facility voluntarily sells electric energy.

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.

Administrative appeals ask a court or other reviewing body to overturn, alter, or delay the legal effect of an underlying administrative decision, such as the decision of a local zoning or planning authority, the decision of a state environmental agency on a permit application, or an administrative agency's enforcement order alleging a regulatory violation.

Though I generally oppose expansion of bar regulatory authority, I would have no problem with state bar disciplinary proceedings banning law firms from using the name of other firms as keywords.

The Court noted that Article 13 (e) enables Member States to restrict (amongst others) the Article 10 right when necessary to safeguard «an important economic or financial interest of a Member State» including taxation matters, while Article 13 (f) provides such an exemption for «monitoring, inspection or regulatory function» connected with the exercise of such authority.

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 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.

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».

Howell has represented clients before multiple federal and state agencies including the Securities and Exchange Commission, the Department of Justice, the Financial Industry Regulatory Authority, and various state securities and regulatory agencies.

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.