Sentences with phrase «requirements under the federal securities laws»

«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 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.

Not exact matches

Under the federal securities laws, a company that offers or sells its securities must register the securities with the SEC or find an exemption from the registration requirements.

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.

The proposed rules would impose oppressive disclosure requirements upon activists that far exceed the scope of disclosure requirements already established under federal securities laws.

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.

Mr. Pinegar advises executive management, boards of directors and board committees regarding disclosure compliance under federal securities laws as well as the changing corporate governance environment and current and prospective governance requirements and attitudes (including under Sarbanes - Oxley, SEC rules, NYSE / NASDAQ rules and state law).

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.