Sentences with phrase «securities acts»

As such, most 506 (b) offerings are only sold to accredited investors (even though the Rule allows for the sale of up to 35 non-accredited investors), as the sale to any unaccredited investors requires significantly heightened disclosure to such investors, which can be costly and burdensome to provide, and may increase the exposure of an issuer to liability under federal and state securities acts.

This press release contains «forward - looking statements» within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934.

At the time, Ontario's Securities Act operated according to the principle of «individual reliance,» which meant each investor had to prove that he or she was duped into buying stocks by faulty company numbers.

Thus, the best and only way to raise significant capital from «silent» partners and multiple investors, is to create a private securities offering under the Securities Act, and more specifically Rules 504, 505, and 506 of Regulation D.

In 2005, Ontario introduced amendments to part of the Securities Act that made it easier to do away with individual reliance.

Self - directed IRAs have been around since 1974, when Congress passed the Employee Retirement Income Security Act, the law that created individual retirement accounts.

If your employer chooses to provide a retirement plan, then it must comply with the requirements and standards mandated under the federal Employee Retirement Income Security Act (ERISA).

Nova Scotia's Securities Commission accuses Potter and three other insiders of violating its Securities Act through stock manipulation and undisclosed trades, with hearings slated for early 2012.

Even if the Republican - controlled Congress passes legislation to halt the DOL rule - making process, President Obama will veto it, enabling the biggest changes to the Employee Retirement Income Security Act (ERISA) since it was drafted 40 years ago.

«You suddenly are introducing a uniform securities act with detailed regulations... that will encompass at least 50 or 60 per cent of the Canadian capital markets,» Russell said.

Last but not least, companies relying on Rule 506 (c) of the Securities Act need to file a Form D Notice of Exempt Offering of Securities with the SEC within 15 days of the first sale in the offering.

Under B.C.'s Securities Act, the commission can regulate who sells securities and how.

Importantly, the people handling these matters should be well versed in the Employee Retirement Income Security Act, or ERISA, which contains many of the laws regulating employee benefit plans.

It's been a little more than a year since Rule 506 (c) of the U.S. Securities Act (implemented pursuant to Title II of the U.S. JOBS Act) became effective.

His first suggestion: provisions of the Securities Act of 1933 and the Securities Act of 1934 should be amended to remove the requirement that companies be audited.

Martinez pointed to Section 17 (a) of the Securities Act and Section 10 (b) and Rule 10b - 5 of the Securities Exchange Act — which forbid misrepresentations in the course of security sales — as potential dangers for Mayweather and others who make glib or inaccurate statements about ICOs.

This news release contains forward - looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, that are intended to be covered by the «safe harbor» created by those sections.

This press release contains forward - looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934, including statements related to our expectations regarding: GAAP net revenue, GAAP gross margins, GAAP operating expenses, GAAP operating loss, GAAP tax expense, GAAP EPS, non-GAAP revenue, non-GAAP gross margins, non-GAAP operating expenses, non-GAAP operating income (loss), non-GAAP tax rate, non-GAAP EPS, share count and cash.

The notes to be offered have not been, and will not be, registered under the Securities Act of 1933 and may not be offered or sold in the United States absent registration or an applicable exemption from the registration requirements of the Securities Act of 1933.

On April 8, 2016, the Department of Labor (Department) published a final regulation (Fiduciary Rule or Rule) defining who is a «fiduciary» of an employee benefit plan under section 3 (21)(A)(ii) of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) as a result of giving investment advice to a plan or its participants or beneficiaries.

That said, products linked to the value of underlying digital assets, including bitcoin and other cryptocurrencies, may be structured as securities products subject to registration under the Securities Act of 1933 or the Investment Company Act of 1940.

Section 831 of the law (entitled «Closure of Unintended Loopholes») made several changes to the Social Security Act and closed two complex loopholes that were used primarily by married couples.

Following the primary dealer meetings, we solicit advice from the Treasury Borrowing Advisory Committee (a committee of the Securities Industry and Financial Markets Association (SIFMA) falling under the regulations of the Federal Advisory Committee Act and the Government Securities Act).

This press release contains forward - looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934 that involve risks and uncertainties, including, without limitation, statements regarding Tribune Publishing's expectations regarding the timing of its name change and transfer to Nasdaq, the impact of its rebranding, its long - term growth, and its strategic plan.

The statements contained in this press release include forward - looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, including, without limitation, statements regarding the company's or management's expectations regarding the business, as well as events that could have a meaningful impact on the company's revenues and cash resources.

Certain of the matters discussed in this release constitute «forward - looking statements» within the meaning of the Securities Act of 1933 and the Securities Exchange Act of 1934, both as amended by the Private Securities Litigation Reform Act of 1995.

This represents the first disbursement under Phase II of the Gulf of Mexico Energy Security Act of 2006 (GOMESA).

Of the outstanding shares, all of the shares sold in this offering will be freely tradable, except that any shares held by our affiliates, as that term is defined in Rule 144 under the Securities Act, may only be sold in compliance with the limitations described below.

Pursuant to Rule 477 promulgated under the Securities Act of 1933, as amended (the «Securities Act»), Fulcrum BioEnergy, Inc. (the «Company») hereby requests that the Securities and Exchange Commission (the «Commission») consent to the immediate withdrawal of the Company's Registration Statement on Form S - 1 (File No. 333-176958) together with all exhibits and amendments thereto, which was initially filed on September 22, 2011 (collectively, the «Registration Statement»).

The Employee Retirement Income Security Act (ERISA) works in conjunction with sections of the Internal Revenue Code to make Rollovers for Business Start - ups a perfectly legal, IRS - acknowledged form of utilizing your retirement funds.

The Notes will not be registered under the Securities Act of 1933, as amended (the «Securities Act «-RRB-, or any state securities laws, and may not be offered or sold in the United States absent registration or an applicable exemption from, or a transaction not subject to, the registration requirements of the Securities Act and applicable state securities laws.

(a) Schedule 2.7 (a) of the Disclosure Schedule contains a list setting forth each employee benefit plan, program, policy or arrangement (including any «employee benefit plan» as defined in Section 3 (3) of the Employee Retirement Income Security Act of 1974, as amended («ERISA»)(«ERISA Plan»)-RRB-, including, without limitation, employee pension benefit plans, as defined in Section 3 (2) of ERISA, multi-employer plans, as defined in Section 3 (37) of ERISA, employee welfare benefit plans, as defined in Section 3 (1) of ERISA, deferred compensation plans, stock option plans, bonus plans, stock purchase plans, fringe benefit plans, life, hospitalization, disability and other insurance plans, severance or termination pay plans and policies, sick pay plans and vacation plans or arrangements, whether or not an ERISA Plan (including any funding mechanism therefore now in effect or required in the future as a result of the transactions contemplated by this Agreement or otherwise), whether formal or informal, oral or written, under which (i) any current or former employee, director or individual consultant of the Company (collectively, the «Company Employees») has any present or future right to benefits and which are contributed to, sponsored by or maintained by the Company or (ii) the Company or any ERISA Affiliate (as hereinafter defined) has had, has or may have any actual or contingent present or future liability or obligation.

Another amendment of the Old Age Security Act in 1966 established the income - tested Guaranteed Income Supplement.

In 1974, Congress enacted the Employee Retirement Income Security Act (ERISA), which shifted the burden of building retirement assets from the employer to the employee.

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.

As you recall, the U.S. Court of Appeals for the District of Columbia Circuit issued an order vacating Rule 151A under the Securities Act of 1933.

The Cash Balance Plan is a defined benefit plan and the 401 (k) Plan is a defined contribution plan, both intended to qualify under the IRC and comply with the Employee Retirement Income Security Act of 1974, as amended (ERISA).

The registration of these shares of our common stock under the Securities Act would result in these shares becoming eligible for sale in the public market without restriction under the Securities Act immediately upon the effectiveness of such registration, subject to the Rule 144 limitations applicable to affiliates.

As we keep saying, ICOs have not warped the space - time continuum so as to apply the Securities Act differently than other classes of securities.

Under Rule 506 (b), a «safe harbor» under Section 4 (a)(2) of the Securities Act, a company can be assured it is within the Section 4 (a)(2) exemption by satisfying certain requirements, including the following:

The Commission also proposed amendments to existing Securities Act Rule 147 to modernize the rule for intrastate offerings to further facilitate capital formation, including through intrastate crowdfunding provisions.

The project is to take place under the auspices of the Center for Supply Chain Studies, with the goal of bringing pharmaceutical firms into compliance with the Drug Supply Chain Security Act, passed in 2013.

We've seen some discussion of relying on Rule 701 under the Securities Act (which applies to people in employee - type relationships with the issuer) and we are skeptical.

This tried - and - true structure is a fast, legal funding option that's been in use since the Employee Retirement Income Security Act became a law in 1974.

After the completion of this offering, the holders of up to 248,396,604 shares of our common stock (including shares issuable pursuant to the exercise of warrants to purchase shares of our capital stock that were outstanding as of September 30, 2015) will be entitled to certain rights with respect to the registration of such shares under the Securities Act.

Fujitsu America, which provides technology and business support to affiliated companies, has yet to answer the complaint or make an appearance in the case, and a company spokesman declined to comment.Lawsuits such as this one are just the beginning, said Marcia Wagner, a principal at the Wagner Law Group who represents plan sponsors and vendors under the Employment Retirement Income Security Act.

The White House's National Economic Council will be performing «industry outreach» regarding the Department of Labor's redraft of its rule to amend the definition of fiduciary under the Employee Retirement Income Security Act, according to an industry official.

The case, filed in U.S. District Court for the Southern District of New York, alleges breach of fiduciary duty under the Employee Retirement Income Security Act.

As a result, whenever we propose to file a registration statement under the Securities Act, other than with respect to (1) a registration related to any employee benefit plan or a corporate reorganization or other transaction covered by Rule 145 promulgated under the

The proposal also would amend Securities Act Rule 504 to increase the aggregate amount of money that may be offered and sold pursuant to the rule from $ 1 million to $ 5 million and apply bad actor disqualifications to Rule 504 offerings to provide additional investor protection.