Sentences with phrase «state securities law»
Our team also assists both public and private companies in connection with federal and state securities law requirements when establishing executive and employee stock compensation plans or arrangements.
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Among other things, he said, the state needs a corruption equivalent of the Martin Act, the sweeping state securities law that has allowed Mr. Cuomo and his predecessor, Eliot Spitzer, to take on high profile Wall Street cases.
The securities offered in the private placement have not been registered under the Securities Act, or any state securities law.
The Notes have not been registered under the Securities Act of 1933, as amended, or any state securities law.
The plan administrator has discretion, however, to establish written conditions and procedures for the transfer of awards to other persons or entities, provided that such transfers comply with applicable federal and state securities laws and are not made for value, other than nominal value or certain transfers to family members.
Collectively and individually, state securities regulators enforce state securities laws by investigating suspected investment fraud, and, where warranted, pursuing enforcement actions.
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.
None of the Reporting Persons nor any manager or executive officer of the Reporting Persons, has, during the past five years, (a) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), or (b) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting, or mandating activities subject to, Federal or State securities laws or a finding of any violation with respect to such laws.
U.S. federal and state securities laws have catch - all provisions regarding secondary liability for aiding and abetting a violation of securities laws, which could apply for facilitating trading through an unregistered exchange.
Unless so registered, the Notes may not be offered or sold in the United States, except pursuant to an exemption from the registration requirements of the Securities Act and applicable state securities laws.
In the race between states vying for startup businesses, Texas proposes to sweeten the deal with a new proposal that exempts crowdfunding initiatives from state securities laws.
Failure to file a Form D complicates the ability of the company to comply with state securities laws.
Unless so registered, the notes may not be offered or sold in the United States, except pursuant to an exemption from the registration requirements of the Securities Act and applicable state securities laws.
Uniform Securities Act: A model developed by the National Conference of Commissioners on Uniform State Law that serves as a basis for most state securities laws.
Blue Sky Laws: State securities laws.
(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 so exempt.
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.
MELA or FAME Student Loan Revenue Bonds described in a Preliminary Official Statement may be offered, if at all, and may be sold, only by means of a final Official Statement provided by broker - dealers authorized and properly registered and licensed to make such offers and sales, and will be made only in accordance with applicable federal and state securities laws.
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 directors,
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.
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.
The development of community solar projects can be financially and legally complex because of federal and state securities laws that govern investments.
As your new business may be subject to federal and / or state securities laws, you may need to consult an attorney or other advisor for further information.
Representing investment professionals against customer claims and counterclaims involving securities related liability under federal and state securities laws.
Peter has handled well in excess of 1000 securities litigation matters involving claims for violation of federal and state securities laws, breach of fiduciary duty, fraud, unauthorized trading, unsuitability, elder abuse and related claims.
Michael Koffler guides investment advisers, broker - dealers and investment funds in their compliance with federal and state securities laws and regulations, and SRO rules.
Lead counsel for investment bank accused of improperly setting IPO price in violation of state securities laws
Mahlet Ayalew advises and represents broker - dealers and global financial institutions regarding compliance with federal and state securities laws and regulations.
Our business and regulatory attorneys counsel life insurance clients on a variety of transactions, business arrangements, insurance products, and distribution matters under federal and state securities laws, FINRA regulations, and state insurance laws.
Monitor applicable statutes including the Commodity Exchange Act, federal banking laws, federal and state securities laws, federal energy laws, federal and state bankruptcy and insolvency laws, and state insurance laws
Securities Regulation Including status questions under the Securities Act, Securities Exchange Act and Investment Company Act of 1940 (1940 Act); 1940 Act regulation of separate accounts and mutual funds that serve as underlying investment vehicles for insurance products; and compliance with the federal and state securities laws, including the Sarbanes - Oxley Act.
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.
Numerous deals involving many of my clients — from startups looking for investors, to private equity funds — involve federal and state securities laws, which seem to have become more and more complicated during my career.
This new law states that crypto developers and traders would be excluded from state securities laws as long as they meet a certain set of conditions.
While many letters like this one have been sent to a multitude of dubious cryptocurrency - based companies, we can confidently report none prior have thrown into question «Hollywood actor, director, producer and martial artis» Steven Seagal's competency regarding «compliance with federal and state securities laws.»
The securities have not been and will not be registered under the United States Securities Act of 1933, as amended (the «1933 Act»), or any state securities laws and may not be offered or sold within the United States or to, or for the account or benefit of U.S. persons (as defined in Regulation S under the 1933 Act) absent such registration or an applicable exemption from such registration requirements.
Wyoming has been the most aggressive in passing blockchain - friendly legislation, passing five laws: declaring that «utility tokens» would not be regulated under state securities laws, exempting cryptocurrencies from property taxes, adjusting its money transmitter regulation to accommodate cryptocurrency exchanges, allowing LLCs to register on a blockchain, and enabling the secretary of state to register companies on a blockchain.
Corporate Governance Subject to the same state law corporate law provisions as Stock Exchange - listed REITs as well as state securities laws and regulations which generally follow the North American Securities Administrators Association (NASAA) Statement of Policy Regarding Real Estate Investment Trusts.
During his tenure at the SEC, Mr. Viola worked on several compliance inspection projects and enforcement actions involving examinations of registered investment advisers, ensuring compliance with federal and state securities laws.
Also, EVERY SINGLE STATE has its own state securities laws that must be complied with.
Not exact matches
«While wearable devices generally fall outside the scope of the FDA and HIPAA, the data collection activities associated with wearable devices could be governed by state privacy and security laws,» advised Health Law Gurus.
The action, which was filed in the United States District Court for the District of New Jersey, alleges that the Company violated federal securities laws.
The FBI and state and local law enforcement are most in need; the National Security Agency has much stronger tools for breaking encryption overseas.
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.
The action, which was filed in the United States District Court for the Southern District of New York, alleges that the Company violated federal securities laws.
In April, Assistant Secretary for International Markets and Investment Heath Tarbert said the United States is considering ways to restrict sensitive Chinese investments in the United States by invoking an emergency powers law and bringing forward some security review reforms for corporate acquisitions.
Security analysts pin the spiraling violence on fights over heroin production, which cartels have turned to as several U.S. states loosen their marijuana laws.