Yet, based on information received, the central bank considers that the token sale constitutes an offering of
securities under state law.
Yet, based on information received, the central bank considers that the token sale constitutes an offering of
securities under state 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.
This press release shall not constitute an offer to sell or the solicitation of an offer to buy these
securities, nor shall there be any sale of these
securities in any
state or jurisdiction in which such offer, solicitation, or sale would be unlawful prior to registration or qualification
under the
securities laws of any such
state or jurisdiction.
This press release is not an offer to sell, nor a solicitation of an offer to buy, any
securities, nor shall there be any sale of these
securities in any
state or jurisdiction in which the offer, solicitation or sale would be unlawful prior to registration or qualification
under the
securities laws of such
state or jurisdiction.
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 securi
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 securi
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 securi
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 securi
Securities Act and applicable
state securitiessecurities laws.
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.
Chinese
state authorities are clearly dominant in the new law, with the Public Security Department under China's State Council taking the lead in NGO manage
state authorities are clearly dominant in the new
law, with the Public
Security Department
under China's
State Council taking the lead in NGO manage
State Council taking the lead in NGO management.
The Notes have not been registered
under the
Securities Act of 1933, as amended, or any state secur
Securities Act of 1933, as amended, or any
state securitiessecurities law.
This press release shall not constitute an offer to sell or the solicitation of an offer to buy nor shall there be any sale of the Debentures in any
state in which such offer, solicitation or sale would be unlawful prior to registration or qualification
under the
securities laws of any such
state.
The AG, Maura Healey, is asking for statutory damages
under Massachusetts consumer and data
security law on behalf of every
state resident whose private information was exposed when hackers broke into Equifax's systems — regardless of wheth
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.
This press release shall not constitute an offer to sell or the solicitation of an offer to buy, nor shall there be any sale of these
securities in any
state or jurisdiction in which such offer, solicitation or sale would be unlawful prior to registration or qualification
under the
securities laws of any such
state or jurisdiction.
This exemption provides that any issue of
securities offered only to investors residing within one
state, where the issuer is a resident of the same
state, is exempt from registration
under the federal
securities laws.
Each
state has its own intrastate offering regulations, and exemptions for crowdfunding proposals must generally fall
under this exemption or they are preempted by federal
securities laws.
(1) engage in the «Geographic Area» (as defined below) as an employee, agent, consultant, advisor, independent contractor, proprietor, partner, officer, director, or otherwise of a Competing Business (as defined below); (2) have any ownership interest (except for passive ownership of one percent (1 %) or less in any entity whose
securities have been registered under the Securities Act of 1933 or Section 12 of the Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing
securities have been registered
under the
Securities Act of 1933 or Section 12 of the Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing
Securities Act of 1933 or Section 12 of the
Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing
Securities Exchange Act of 1934 or the
securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing
securities laws of any other jurisdiction of the United
States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing Business.
This press release shall not constitute an offer to sell or a solicitation of an offer to buy, nor shall there be any sale of these
securities in any
state or jurisdiction in which such an offer, solicitation or sale would be unlawful prior to registration or qualification
under the
securities laws of any such
state or jurisdiction.
The
securities offered in the private placement have not been registered under the Securities Act, or any state secur
securities offered in the private placement have not been registered
under the
Securities Act, or any state secur
Securities Act, or any
state securitiessecurities law.
A third party country that uses force in territory controlled by another sovereign
state, without the express or implied consent of a sovereign
state with a legitimate claim to that territory, is an illegal aggressor
under international
law, rather than a participant in a collective
security effort which international
law recognizes as a legitimate reason to use military force.
the reason for the court's blocking of a travel restriction put in place by the President of the United
States of America for purposes of national
security was because the president (when he was a candidate) mentioned something about banning certain people (i.e. those people who believe it is their duty to enslave the world
under sharia
law because god tells them to) during this time of war against those elements of said group who actually practice what they preach
8) Civil Liberties Which should take priority
under the
law: the civil liberties of the individual, or the right of the
state to maintain its own
security?
He however said the
state was not
under any special
security threat, but that proactive measures have been put in place to forestall any breakdown of
law and order.
Connellan had a part - time
security job for 17 years with the
state banking agency, making a total of about $ 317,461 over those years — an average of $ 18,674 a year, according to records from the
state obtained by Syracuse.com
under an open records
law request.
The Kaduna
State Security Council has directed security agencies to the arrest and prosecute anyone violating the law under an
Security Council has directed
security agencies to the arrest and prosecute anyone violating the law under an
security agencies to the arrest and prosecute anyone violating the
law under any guise.
He, therefore, called on
security agencies to put Magnus Abe
under surveillance as his actions, if not checked, could result to breakdown of
law and order in the
State.
Under the law, corporations, banks, insurance companies, brokerages and other businesses in New York are required to transfer abandoned money or securities to the state comptroller's Office of Unclaimed Funds under a process called escheatment (a word with origins in English feudal
Under the
law, corporations, banks, insurance companies, brokerages and other businesses in New York are required to transfer abandoned money or
securities to the
state comptroller's Office of Unclaimed Funds
under a process called escheatment (a word with origins in English feudal
under a process called escheatment (a word with origins in English feudal
law).
The offence, according to the prosecutor, was contrary to and punishable
under sections 31 (1) and 31 (2) of the Ondo
State Child's Right
Law of the Nigeria
Security and Civil Defence Corps, 2007.
(B) «Credit repair services organization» does not include: (i) Any person authorized to make loans or extensions of credit
under the
laws of this
state or the United
States who is subject to regulation and supervision by this
state or the United
States; (ii) Any bank or savings and loan institution whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Savings Association Insurance Fund of the Federal Deposit Insurance Corporation; (iii) Any nonprofit organization exempt from taxation
under Section 501 (c)(3) of the Internal Revenue Code of 1986; (iv) Any person licensed as a real estate broker by this
state if the person is acting within the course and scope of that license; (v) Any person licensed to practice
law in this
state if the person renders services within the course and scope of his or her practice as an attorney; (vi) Any broker - dealer registered with the
Securities and Exchange Commission or the Commodity Futures Trading Commission if the broker - dealer is acting within the course and scope of those regulatory agencies; or (vii) Any consumer reporting agency as defined in the federal Fair Credit Reporting Act (15 U.S.C. 1681 - 1681t).
We use the term «Child» to include your biological child or any other child who can inherit your personal property
under state law or who meets certain specific requirements
under the Social
Security Act; such as:
(1) The following shall be exempt from the Credit Services Organization Act: (a) A person authorized to make loans or extensions of credit
under the
laws of this
state or the United
States who is subject to regulation and supervision by this
state or the United
States or a lender approved by the United
States Secretary of Housing and Urban Development for participation in a mortgage insurance program
under the National Housing Act, 12 U.S.C. 1701 et seq.; (b) A bank or savings and loan association whose deposit or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or a subsidiary of such a bank or savings and loan association; (c) A credit union doing business in this
state; (d) A nonprofit organization exempt from taxation
under section 501 (c)(3) of the Internal Revenue Code; (e) A person licensed as a real estate broker or salesperson
under the Nebraska Real Estate License Act acting within the course and scope of that license; (f) A person licensed to practice
law in this
state acting within the course and scope of the person's practice as an attorney; (g) A broker - dealer registered with the
Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (h) A consumer reporting agency; (i) A person whose primary business is making loans secured by liens on real property; (j) A person, firm, corporation, or association licensed as a collection agency in this
state or a person holding a solicitor's certificate in this
state acting within the course and scope of that license or certificate; and (k) A person licensed to engage in the business of debt management pursuant to sections 69 - 1201 to 69 - 1217.
This communication shall not constitute an offer to sell or the solicitation of an offer to buy, nor shall there be any sales of the Fund's shares in any
state in which such offer, solicitation or sale would be unlawful prior to registration or qualification
under securities laws of any such
state as noted in the filings.
(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.
Check your individual
state's fees below to see if you are a member of a qualifying group, and make sure you indicate to the credit bureau that you are a protected consumer
under applicable
state law when you make your
security freeze request.
ID Fraud Restoration SpecialistIf you are a victim of identity theft, IdentityIQ provides an expert Fraud Restoration Specialist to ensure your financial
security, privacy, and your rights
under state and federal
law.
ID Fraud Restoration Specialist If you are a victim of identity theft, IdentityIQ provides an expert Fraud Restoration Specialist to ensure your financial
security, privacy, and your rights
under state and federal
law.
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.
«Credit Services Organization» does not include any of the following: (i) a person authorized to make loans or extensions of credit
under the
laws of this
State or the United States who is subject to regulation and supervision by this State or the United States, or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program under the National Housing Act (12 U.S.C. Section 1701 et seq.); (ii) a bank or savings and loan association whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Federal Savings and Loan Insurance Corporation, or a subsidiary of such a bank or savings and loan association; (iii) a credit union doing business in this State; (iv) a nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986, [FN1] provided that such organization does not charge or receive any money or other valuable consideration prior to or upon the execution of a contract or other agreement between the buyer and the nonprofit organization; (v) a person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (vi) a person licensed to practice law in this State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed under the Illinois Residential Mortgage License Act of
State or the United
States who is subject to regulation and supervision by this
State or the United States, or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program under the National Housing Act (12 U.S.C. Section 1701 et seq.); (ii) a bank or savings and loan association whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Federal Savings and Loan Insurance Corporation, or a subsidiary of such a bank or savings and loan association; (iii) a credit union doing business in this State; (iv) a nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986, [FN1] provided that such organization does not charge or receive any money or other valuable consideration prior to or upon the execution of a contract or other agreement between the buyer and the nonprofit organization; (v) a person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (vi) a person licensed to practice law in this State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed under the Illinois Residential Mortgage License Act of
State or the United
States, or a lender approved by the United
States Secretary of Housing and Urban Development for participation in a mortgage insurance program
under the National Housing Act (12 U.S.C. Section 1701 et seq.); (ii) a bank or savings and loan association whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Federal Savings and Loan Insurance Corporation, or a subsidiary of such a bank or savings and loan association; (iii) a credit union doing business in this
State; (iv) a nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986, [FN1] provided that such organization does not charge or receive any money or other valuable consideration prior to or upon the execution of a contract or other agreement between the buyer and the nonprofit organization; (v) a person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (vi) a person licensed to practice law in this State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed under the Illinois Residential Mortgage License Act of
State; (iv) a nonprofit organization exempt from taxation
under Section 501 (c)(3) of the Internal Revenue Code of 1986, [FN1] provided that such organization does not charge or receive any money or other valuable consideration prior to or upon the execution of a contract or other agreement between the buyer and the nonprofit organization; (v) a person licensed as a real estate broker by this
state if the person is acting within the course and scope of that license; (vi) a person licensed to practice law in this State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed under the Illinois Residential Mortgage License Act of
state if the person is acting within the course and scope of that license; (vi) a person licensed to practice
law in this
State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed under the Illinois Residential Mortgage License Act of
State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer registered with the
Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed
under the Illinois Residential Mortgage License Act of 1987.
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 stan
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 stan
under the fiduciary standard.
With the exception of qualified retirement plan assets covered
under the Employee Retirement Income
Security Act (ERISA),
state laws ultimately govern the division of marital assets in a divorce, and
state laws differ radically on who gets what when the marriage ends.
The Funds, which are not sold by prospectus, are not mutual funds and are exempt from registration and regulation
under the Investment Company Act of 1940 («1940 Act»), and their units are not registered
under the
Securities Act of 1933, or applicable securities laws of any state or other jur
Securities Act of 1933, or applicable
securities laws of any state or other jur
securities laws of any
state or other jurisdiction.
j) You agree that all assets deposited in your Margin Account as collateral for any margin loan that you may have obtained are freely transferable and are not subject to any restriction on resale
under any applicable federal or
state securities laws or otherwise, and are not «restricted,» «legend» or affiliate's «control» stock.
A memorandum for use by the account specifying the way a specific issue will be treated
under state securities laws, frequently of all 50
states, Puerto Rico, and the District of Columbia.
Under the terms of the Advisory Agreement, each Fund is responsible for the payment of the following expenses among others: (a) the fees payable to the Adviser, (b) the fees and expenses of Trustees who are not affiliated persons of the Adviser or Distributor (as defined under the section entitled («The Distributor»)(c) the fees and certain expenses of the Custodian (as defined under the section entitled «Custodian») and Transfer and Dividend Disbursing Agent (as defined under the section entitled «Transfer Agent»), including the cost of maintaining certain required records of the Fund and of pricing the Fund's shares, (d) the charges and expenses of legal counsel and independent accountants for the Fund, (e) brokerage commissions and any issue or transfer taxes chargeable to the Fund in connection with its securities transactions, (f) all taxes and corporate fees payable by the Fund to governmental agencies, (g) the fees of any trade association of which the Fund may be a member, (h) the cost of fidelity and liability insurance, (i) the fees and expenses involved in registering and maintaining registration of the Fund and of shares with the SEC, qualifying its shares under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not direc
Under the terms of the Advisory Agreement, each Fund is responsible for the payment of the following expenses among others: (a) the fees payable to the Adviser, (b) the fees and expenses of Trustees who are not affiliated persons of the Adviser or Distributor (as defined
under the section entitled («The Distributor»)(c) the fees and certain expenses of the Custodian (as defined under the section entitled «Custodian») and Transfer and Dividend Disbursing Agent (as defined under the section entitled «Transfer Agent»), including the cost of maintaining certain required records of the Fund and of pricing the Fund's shares, (d) the charges and expenses of legal counsel and independent accountants for the Fund, (e) brokerage commissions and any issue or transfer taxes chargeable to the Fund in connection with its securities transactions, (f) all taxes and corporate fees payable by the Fund to governmental agencies, (g) the fees of any trade association of which the Fund may be a member, (h) the cost of fidelity and liability insurance, (i) the fees and expenses involved in registering and maintaining registration of the Fund and of shares with the SEC, qualifying its shares under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not direc
under the section entitled («The Distributor»)(c) the fees and certain expenses of the Custodian (as defined
under the section entitled «Custodian») and Transfer and Dividend Disbursing Agent (as defined under the section entitled «Transfer Agent»), including the cost of maintaining certain required records of the Fund and of pricing the Fund's shares, (d) the charges and expenses of legal counsel and independent accountants for the Fund, (e) brokerage commissions and any issue or transfer taxes chargeable to the Fund in connection with its securities transactions, (f) all taxes and corporate fees payable by the Fund to governmental agencies, (g) the fees of any trade association of which the Fund may be a member, (h) the cost of fidelity and liability insurance, (i) the fees and expenses involved in registering and maintaining registration of the Fund and of shares with the SEC, qualifying its shares under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not direc
under the section entitled «Custodian») and Transfer and Dividend Disbursing Agent (as defined
under the section entitled «Transfer Agent»), including the cost of maintaining certain required records of the Fund and of pricing the Fund's shares, (d) the charges and expenses of legal counsel and independent accountants for the Fund, (e) brokerage commissions and any issue or transfer taxes chargeable to the Fund in connection with its securities transactions, (f) all taxes and corporate fees payable by the Fund to governmental agencies, (g) the fees of any trade association of which the Fund may be a member, (h) the cost of fidelity and liability insurance, (i) the fees and expenses involved in registering and maintaining registration of the Fund and of shares with the SEC, qualifying its shares under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not direc
under the section entitled «Transfer Agent»), including the cost of maintaining certain required records of the Fund and of pricing the Fund's shares, (d) the charges and expenses of legal counsel and independent accountants for the Fund, (e) brokerage commissions and any issue or transfer taxes chargeable to the Fund in connection with its
securities transactions, (f) all taxes and corporate fees payable by the Fund to governmental agencies, (g) the fees of any trade association of which the Fund may be a member, (h) the cost of fidelity and liability insurance, (i) the fees and expenses involved in registering and maintaining registration of the Fund and of shares with the SEC, qualifying its shares
under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not direc
under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not directors,
Insurance companies issue both products, and anyone who sells them must be registered
under state insurance
laws and
state and federal
securities laws.
These services include providing assisting in the supervising of relations with custodians, transfer and pricing agents, accountants, underwriters and other persons dealing with the Funds; assisting in the preparing of all general shareholder communications and conducting shareholder relations; assisting in maintaining the Funds» records and the registration of each Fund's shares
under federal
securities laws and making necessary filings
under state securities laws; assisting in developing management and shareholder services for the Funds; and furnishing reports, evaluations and analyses on a variety of subjects to the Trustees.
The Distributor is registered as a broker - dealer
under the
Securities Exchange Act of 1934 and each state's securities laws and is a member of
Securities Exchange Act of 1934 and each
state's
securities laws and is a member of
securities laws and is a member of the FINRA.
The Underwriting Agreement between the Trust and Northern Lights Distributors, LLC («NLD») provides that the Registrant agrees to indemnify, defend and hold NLD, its several officers and directors, and any person who controls NLD within the meaning of Section 15 of the
Securities Act free and harmless from and against any and all claims, demands, liabilities and expenses (including the reasonable cost of investigating or defending such claims, demands or liabilities and any reasonable counsel fees incurred in connection therewith) which NLD, its officers and directors, or any such controlling persons, may incur
under the
Securities Act, the 1940 Act, or common
law or otherwise, arising out of or based upon: (i) any untrue statement, or alleged untrue statement, of a material fact required to be
stated in either any Registration Statement or any Prospectus, (ii) any omission, or alleged omission, to
state a material fact required to be
stated in any Registration Statement or any Prospectus or necessary to make the statements in any of them not misleading, (iii) the Registrant's failure to maintain an effective Registration statement and Prospectus with respect to Shares of the Funds that are the subject of the claim or demand, or (iv) the Registrant's failure to provide NLD with advertising or sales materials to be filed with the FINRA on a timely basis.
The Underwriting Agreement between the Trust and Ceros Financial Services Inc. («Ceros») provides that the Registrant agrees to indemnify, defend and hold Ceros, its several officers and directors, and any person who controls Ceros within the meaning of Section 15 of the
Securities Act free and harmless from and against any and all claims, demands, liabilities and expenses (including the reasonable cost of investigating or defending such claims, demands or liabilities and any reasonable counsel fees incurred in connection therewith) which Ceros, its officers and directors, or any such controlling persons, may incur
under the
Securities Act, the 1940 Act, or common
law or otherwise, arising out of or based upon: (i) any untrue statement, or alleged untrue statement, of a material fact required to be
stated in either any Registration Statement or any Prospectus, (ii) the breach of any representations, warranties or obligations set forth herein, (iii) any omission, or alleged omission, to
state a material fact required to be
As such, it relies upon the «publisher's exclusion» as provided
under Section 202 (a)(11) of the Investment Advisers Act of 1940 and corresponding
state securities laws.