Sentences with phrase «under federal securities laws»

Nor did it suggest that either company give up its exemption for registering under federal securities laws.

The Securities Exchange Commission has noted that, under federal securities laws, companies may be required to disclose data security risks and potential liabilities in their public financial statements when such risks meet the level of «material information.»

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

«A number of these platforms provide a mechanism for trading assets that meet the definition of a «security» under the federal securities laws.

If there is a mechanism by which assets «that meet the definition of a «security» under the federal securities laws» can be traded, then «the platform must register with the SEC as a national securities exchange» provided it is not otherwise exempt from registration.

It investigated The DAO, an online corporation, and declared that its ICO involved securities subject to regulation under federal securities laws.

The Munchee Order provided food for thought for token sellers and gatekeepers who have been hungry for guidance on the status of digital tokens under the federal securities laws.

Due to the fact that these separate accounts are investments in securities, such as stocks, these policies are regulated under the federal securities laws.

Because of investment risks, variable policies are considered securities contracts which have regulation under the federal securities laws.

Because of investment risks, variable policies are considered securities contracts and are regulated under the federal securities laws; therefore, they must be sold via a prospectus.

Since you can generally choose from a variety of investments within the investment component of your coverage and returns are never guaranteed, variable life insurance is regulated under federal securities laws.

Due to inherent investment risks, Variable Life policies are deemed securities contracts and are regulated under the federal securities laws.

As a former prosecutor, Ms. Doolittle brings special expertise to, and spends a significant amount of time, defending corporations, officers and directors in parallel civil and criminal matters, including under the federal securities laws, the False Claims Act, and the FCPA.

Represented defendant bank holding company and affiliates in consolidated class actions under federal securities laws

Brad defends clients in class actions under the federal securities laws, various federal and state consumer protection laws, including the Telephone Consumer Protection Act (TCPA), the Fair and Accurate Credit Transaction Act (FACTA) and many state false advertising statutes.

Laura focuses her practice on civil litigation and regulatory investigations under the federal securities laws as well as state law claims arising from corporate transactions, such as suits seeking to enjoin mergers and acquisitions and appraisals.

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).

She counsels clients regarding registration, reporting, disclosure and compliance issues under the federal securities laws as a member of Eversheds Sutherland (US)'s Financial Services Practice Group.

Before we begin, I'd like to remind everyone that the statements made during this call that are not historical facts are considered forward - looking statements under federal securities laws.

The statements contained herein which are not historical facts are considered forward - looking statements under federal securities laws.

In order to avoid this, a fund will earmark or segregate assets for any outstanding futures contracts as may be required under the federal securities laws.

The fund will earmark or segregate assets for any open positions in forwards used for non-hedging purposes and mark to market daily as may be required under the 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.

Due to the fact that these separate accounts are investments in securities, such as stocks, these policies are regulated under the federal securities laws.

Any repurchases made under this program would be made on a national securities exchange at the prevailing market price, subject to exchange requirements regarding volume, timing and other limitations under federal securities laws.

Our attorneys successfully have argued appeals in landmark cases under the federal securities laws and the Commodity Exchange Act.

The proposed rules would impose oppressive disclosure requirements upon activists that far exceed the scope of disclosure requirements already established under federal securities laws.

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.

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.

Any repurchases made under the Repurchase Program would be made on a national securities exchange at the prevailing market price, subject to exchange requirements regarding volume, timing and other limitations under federal securities laws.

Under the federal securities laws, a company that offers or sells its securities must register the securities with the SEC or find an exemption from the registration requirements.

Under the federal securities laws, any offer or sale of a security must either be registered with the SEC or meet an exemption.

[6] In the 21 (a) Report, the Commission applied longstanding securities law principles to demonstrate that a particular token constituted an investment contract and therefore was a security under our federal securities laws.

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 otherwise.

«These and other services offered by platforms may trigger other registration requirements under the federal securities laws, including broker - dealer, transfer agent, or clearing agency registration, among other things,» the statement said.

On activism and information management, see also ««Best Ideas» Conference Presentations: Challenges Faced by Hedge Fund Managers Under Federal Securities Law (Part Two of Two),» The Hedge Fund Law Report, Vol.

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.

Laura McNally defends clients in class and individual actions brought under federal securities law, challenges to mergers and acquisitions, derivative suits, and appraisals.

These policies are considered to be securities contracts, which are regulated under federal securities law, and are required to be offered with a prospectus.

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 Transportation Security Administration, the federal agency in charge of screening passengers, isn't specifically looking for drugs that are illegal under federal law, a spokesman said.

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.

Last month, the federal government released guidelines to regulate online taxi companies, saying they should do stringent security checks and not contract anyone convicted of a «cognizable offense» under India's criminal 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.

Other than as required under U.S. federal securities laws or Canadian securities laws, we do not assume a duty to update these forward - looking statements, whether as a result of new information, subsequent events or circumstances, change in expectations or otherwise.

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.

And under the settlement deal with the S.E.C., JPMorgan took the unusual step of acknowledging that it had violated federal securities laws.

Under federal law, the committee reviews foreign investments that raise potential national security concerns.

Maksim Zaslavskiy contends the currencies did not qualify as securities under federal law and so the Department of Justice lacked jurisdiction to bring the charges.