Sentences with phrase «required under federal securities laws»

In order to avoid this, a fund will earmark or segregate assets for any outstanding futures contracts as may be required under the federal securities laws.

The fund will earmark or segregate assets for any open positions in forwards used for non-hedging purposes and mark to market daily as may be required under the federal securities laws.

Except as required under federal securities laws and the rules and regulations of the Securities and Exchange Commission, we will not undertake and specifically decline any obligation to publicly update or revise any forward - looking statements to reflect events or circumstances arising after the date of this press release, whether as a result of new information, future events or otherwise.

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.

* Demands that students present Social Security cards and birth certificates for their applications to be considered, even though such documents can not be required under federal law.

* Demands that students present Social Security cards and birth certificates for their applications to be considered, though such documents can not be required under federal law.

(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.

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.

The SEC created this new rule because open - ended mutual funds are not currently subject to requirements under federal securities law that requires them to manage their liquidity risk.

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.

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

If RepuX Tokens were deemed to be securities under U.S. federal securities laws, we may be required to terminate the Token Sale in the U.S. and refund funds received from U.S. purchasers of RepuX Tokens.

The Securities Exchange Commission has noted that, under federal securities laws, companies may be required to disclose data security risks and potential liabilities in their public financial statements when such risks meet the level of «material informatiSecurities Exchange Commission has noted that, under federal securities laws, companies may be required to disclose data security risks and potential liabilities in their public financial statements when such risks meet the level of «material informatisecurities laws, companies may be required to disclose data security risks and potential liabilities in their public financial statements when such risks meet the level of «material information.»