Sentences with phrase «rules under securities law»

Not exact matches

The class action, filed in United States District Court, Southern District of New York, and docketed under 18 - cv - 02213, is on behalf of a class consisting of investors who purchased or otherwise acquired BRF American Depositary Receipts («ADRs») between April 4, 2013 and March 2, 2018, both dates inclusive (the «Class Period»), seeking to recover damages caused by Defendants» violations of the federal securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 (the «Exchange Act») and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 (the «Exchange Act») and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top Securities Exchange Act of 1934 (the «Exchange Act») and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top officials.

The class action, filed in United States District Court, for the District of Illinois, Eastern Division, is on behalf of a class consisting of investors who purchased or otherwise acquired Akorn's securities between March 1, 2017 through February 26, 2018, both dates inclusive (the «Class Period»), seeking to recover damages caused by defendants» violations of the federal securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top securities between March 1, 2017 through February 26, 2018, both dates inclusive (the «Class Period»), seeking to recover damages caused by defendants» violations of the federal securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top Securities Exchange Act of 1934 and Rule 10b - 5 promulgated thereunder, against the Company and certain of its top officials.

In his 2015 book «Rewriting the Rules of the American Economy,» Stiglitz said that the normalization of shareholder primacy was solidified under the Reagan administration through changes to federal income tax law and securities law, including relaxed antitrust laws.

Plaintiff seeks to recover compensable damages caused by Defendants» violations of the federal securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 (the «Exchange Act») and Rule 10b - 5 promulgated tsecurities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 (the «Exchange Act») and Rule 10b - 5 promulgated tSecurities Exchange Act of 1934 (the «Exchange Act») and Rule 10b - 5 promulgated thereunder.

Under federal securities rules, public companies aren't supposed to disclose «material information» about their business performance unless it's made widely available to the public, noted Stephen Diamond, an associate professor who teaches securities law at Santa Clara University.

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 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 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.

The Offer is being made in the U.S. pursuant to Section 14 (e) of, and Regulation 14E under, the U.S. Securities Exchange Act of 1934, as amended (the U.S. Exchange Act), subject to the exemptions provided by Rule 14d - 1 and Rule 14e - 5 under the U.S. Exchange Act and any exemptions from such requirements granted by the U.S. Securities and Exchange Commission (the SEC), and otherwise in accordance with the requirements of Swiss law.

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.

It was only in the fall of 2013, that the federal securities laws in the US were amended under Title II of the Jobs Act to allow advertising when selling to accredited investors (often referred to as Title II equity crowdfunding or Rule 506 (c) equity crowdfunding).

Bartz argued that the Employee Retirement Income Security Act would now pre-empt state law under the rule and that the rule improperly created a private right of action that could set up class - action lawsuits against insurance companies and agents.

On 6 August 2013, Federal Judge Amos Mazzant of the Eastern District of Texas of the Fifth Circuit ruled that bitcoins are «a currency or a form of money» (specifically securities as defined by Federal Securities Laws), and as such were subject to the court's jurisdiction, [274][274] and Germany's Finance Ministry subsumed bitcoins under the term «unit of account» — a financial instrument — though not as e-money or a functional currency, a classification nonetheless having legal and tax impsecurities as defined by Federal Securities Laws), and as such were subject to the court's jurisdiction, [274][274] and Germany's Finance Ministry subsumed bitcoins under the term «unit of account» — a financial instrument — though not as e-money or a functional currency, a classification nonetheless having legal and tax impSecurities Laws), and as such were subject to the court's jurisdiction, [274][274] and Germany's Finance Ministry subsumed bitcoins under the term «unit of account» — a financial instrument — though not as e-money or a functional currency, a classification nonetheless having legal and tax implications.

Mr. Lieberman is working with the Firm's international clients to craft a response to the Supreme Court's ruling in Morrison v. Nat» l Australia Bank, Ltd., which limited the ability of foreign investors to seek redress under the 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.

After the SEC's ruling that DAO tokens were considered securities, popular cryptocurrency exchanges such as Bittrex, Poloniex, and ShapeShift declared that they will examine listed tokens under the Howey test and delist probable security tokens to avoid violation of applicable security exchange laws.

The Company will seek a waiver from NYSE American's shareholder approval requirements in circumstances where the securities issuance does not trigger such a requirement under British Columbia law or under the rules of the Toronto Stock Exchange.

The Sultan Ibrahim Dasuki Progressive Association (SIDPA), for and on behalf of the entire members of Sultan Dasuki family, wish to request the Federal Government, under the leadership of Muhammadu Buhari, to respect the rule of law in the case of our son, brother and cousin and the former National Security Adviser (NSA), Col. Sambo Dasuki (rtd) to release him from detention

Raji who perfected the bail condition of his client disclosed that the actions of the security agents were an affront to the rule of law under democracy.

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.

NLCS's compliance services consist primarily of reviewing and assessing the policies and procedures of the Trust and its service providers pertaining to compliance with applicable federal securities laws, including Rule 38a - 1 under the 1940 Act.

In a first case, C - 431 / 11 UK v Council, the CJEU dealt with the choice of legal basis for a measure implementing an European Economic Area (EEA) Agreement as regards social security systems and ruled that it was precisely one of the measures by which the law governing the EU internal market is to be extended as far as possible to the EEA, with the result that nationals of the EEA States concerned benefit from the free movement of persons under the same social conditions as EU citizens.

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).

As NSU explains, «This course provides hands - on experience for students on a number of key operational aspects of the practice of law, including the business foundation of successful law firm management; security and confidentiality of client information; marketing, public relations, advertising and social media; duties of technological competence under ABA «Ethics 20/20» amendments to the Model Rules of Professional Responsibility; predictive coding and other eDiscovery issues; client intake and case management; and issues related to the scope and composition of representation, including the unauthorized practice of law and unbundled legal services.»

This version is the distillation of the authoritative 11 - volume treatise, Securities Regulation, in one convenient volume, offering expert analysis of every significant aspect of securities law, including: Primary liability under 10 (b); Insider trading; Sanctions; Disclosure requirements; Rules and forms for offerings; SEC reporting; Forward - looking statements; Class action suits; Bespeaks caution cases; ADR in securitiesSecurities Regulation, in one convenient volume, offering expert analysis of every significant aspect of securities law, including: Primary liability under 10 (b); Insider trading; Sanctions; Disclosure requirements; Rules and forms for offerings; SEC reporting; Forward - looking statements; Class action suits; Bespeaks caution cases; ADR in securitiessecurities law, including: Primary liability under 10 (b); Insider trading; Sanctions; Disclosure requirements; Rules and forms for offerings; SEC reporting; Forward - looking statements; Class action suits; Bespeaks caution cases; ADR in securitiessecurities disputes.

Technical offenses - such as «stock parking,» net capital, or margin rule violations (to give only examples from the federal securities laws)- are thus potentially punishable under the same statutory provisions that prohibit fraud.

In addition to securities offerings, Doug regularly advises clients about disclosure and compliance questions under the securities laws and rules of the NYSE and NASDAQ.

«The other big difference is that under securities laws, venture [i.e., smaller] issuers don't have to comply with securities rules for diversity disclosure, but they would have to comply with the CBCA rules,» she says.

The full benefits of the improvements in the certainty of searching and filing under the new regime may not be realized pending the enactment by the other common law provinces of location of the debtor rules that parallel the new Ontario rules due to the conflict of laws rules in the various provincial personal property security acts.

We advise registered representatives and companies on FINRA conduct rules, including broker check disputes and Form U4 / U5 issues; defend companies and individuals in FINRA regulatory investigations and enforcement proceedings; represent companies and individuals in industry and customer disputes in the FINRA forum; and litigate cases arising under federal and state securities laws.

Obviously claims that national security legitimizes behavior X have some limitations under the law of any nation which claims to be ruled by law, including the United States.

The ICJ said it was «concerned that the independence and security of lawyers is under increasing threat in Turkey, with potentially serious consequences for the capacity of lawyers to play their proper role in the administration of justice, and the protection of the rule of law and human rights in the justice system.»

Skype and WhatsApp face stricter rules on how they handle customer data under new security laws due to be proposed by the European Union

The Chinese government banned cryptocurrency trading, Canadian authorities dragged ICOs under the jurisdiction of securities law, the U.S. Securities and Exchange Commission (SEC) warned that new rules for ICOs are imminent, and South Korea banned anonymousecurities law, the U.S. Securities and Exchange Commission (SEC) warned that new rules for ICOs are imminent, and South Korea banned anonymouSecurities and Exchange Commission (SEC) warned that new rules for ICOs are imminent, and South Korea banned anonymous trading.

As such, these specific ICOs must operate under the rule of federal securities laws or risk invoking the SEC's wrath.

KODAKCoin's status as a security likely will preclude the token from being tradable on unregulated cryptocurrency exchanges that are subject to U.S. securities laws — likely affecting the token's liquidity — and KODAKCoins would be resalable by purchasers only either in a registered securities offering or a transaction exempt from securities registration (such as under the Rule 144 safe harbor for sales by non-affiliates after a holding period is met).

The SEC ruled tokens offered and sold by The DAO are classified as securities, and therefore fall under federal securities laws.