Sentences with phrase «state securities laws»

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.

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.

Our knowledgeable attorneys work with clients to navigating the complex federal and state securities law regimes.

The blockchain laws range from the creation of task forces to study the technology to tautologies like Tennessee's to more substantive initiatives like Wyoming's decree that some cryptocurrencies issued on a blockchain will not be regulated under state securities law.

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.

Former AIG head Hank Greenberg, at the age of 92, has taken aim at the Martin Act, the sweeping state securities law that was used against him by former AG Eliot Spitzer.

Consultation on federal and state securities laws matters, including 33 Act registrations, 34 Act compliance, SEC and NASD enforcement actions, and blue sky law compliance.

Collectively and individually, state securities regulators enforce state securities laws by investigating suspected investment fraud, and, where warranted, pursuing enforcement actions.

Federal and state securities laws limit offers and sales of securities to a limited number and certain types of investors.

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.

Lead counsel for investment bank accused of improperly setting IPO price in violation of state securities laws

Securities and law compliance matters for Arizona Public Service Company Represent Arizona Public Service Company (NYSE and PSE: PNW), an electric utility that provides retail and wholesale electric service to most of the State of Arizona, in federal and state securities law compliance matters, including a legal opinion for a $ 300M shelf debt offering, and reporting and New York Stock Exchange listing compliance.

The celebrity's involvement in Bitcoiin was also questioned by the New Jersey Bureau of Securities citing undisclosed compensation for promoting the project as per the federal state securities laws.

NOTE: The information contained herein does not constitute, and shall not be considered, an offer to sell, or a solicitation of an offer to purchase, interests in Armada Hoffler's operating partnership under U.S. securities laws (or U.S. state securities laws) or under the securities laws of any other country.

Also, EVERY SINGLE STATE has its own state securities laws that must be complied with.

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.

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.

On March 7, 2018, the agency stated that digital assets like coins and tokens traded within ICOs fall under the United States security laws.

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.

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.

The Notes have not been registered under the Securities Act of 1933, as amended, or any state securities law.

The Shares have not been and will not be registered under the U.S. Securities Act of 1933, as amended, or under any state securities laws, and may not be offered, sold, directly or indirectly, or delivered within the United States of America and its territories and possessions or to, or for the account or benefit of, United States persons except in certain transactions exempt from the registration requirements of such Act and applicable state securities laws.

The notes have not been registered under the Securities Act of 1933, as amended, or any state securities law.

Your state securities regulator can tell you if the broker is properly licensed within your state, can access the central brokerage registration database, and may be able to supply you with additional regulatory action taken under state securities laws.

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.

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.

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.

We have experience representing both plaintiffs and defendants in actions alleging violations of federal and state securities laws.

We focus on representing clients prosecuting or defending claims 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.

Darryl also assists clients with meeting both federal and state securities laws and regulations, including mandatory filings with the U.S. Securities and Exchange Commission (SEC).

The Ohio Supreme Court will consider a medical malpractice lawsuit, a federal court's question about the state securities law, and two disciplinary cases at next week's oral arguments.