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.
Not exact matches
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.
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
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
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.
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.
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.
It was only in the fall of 2013, that the
federal securities laws in the US were amended
under Title II of the Jobs Act to allow advertising when selling to accredited investors (often referred to
as Title II equity crowdfunding or Rule 506 (c) equity crowdfunding).
In December, he issued a statement explaining why he believes certain ICOs should fall
under the jurisdiction of
federal securities law and,
as such, be filed beforehand.
On 6 August 2013,
Federal Judge Amos Mazzant of the Eastern District of Texas of the Fifth Circuit ruled that bitcoins are «a currency or a form of money» (specifically
securities as defined by Federal Securities Laws), and as such were subject to the court's jurisdiction, [274][274] and Germany's Finance Ministry subsumed bitcoins under the term «unit of account» — a financial instrument — though not as e-money or a functional currency, a classification nonetheless having legal and tax imp
securities as defined by
Federal Securities Laws), and as such were subject to the court's jurisdiction, [274][274] and Germany's Finance Ministry subsumed bitcoins under the term «unit of account» — a financial instrument — though not as e-money or a functional currency, a classification nonetheless having legal and tax imp
Securities Laws), and
as such were subject to the court's jurisdiction, [274][274] and Germany's Finance Ministry subsumed bitcoins
under the term «unit of account» — a financial instrument — though not
as e-money or a functional currency, a classification nonetheless having legal and tax implications.
Under today's federal securities laws, only individuals and entities that qualify as an accredited investor can legally take advantage of startup investing opportunities under minimal limitat
Under today's
federal securities laws, only individuals and entities that qualify
as an accredited investor can legally take advantage of startup investing opportunities
under minimal limitat
under minimal limitations.
(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 -
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 -
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 -
federal Fair Credit Reporting Act (15 U.S.C. 1681 - 1681t).
Due to the fact that these separate accounts are investments in
securities, such
as stocks, these policies are regulated
under the
federal securities laws.
(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.
(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
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 1987.
But the creditor must apply these tests fairly, impartially, and without discriminating against you on any of the following grounds: age, gender, marital status, race, color, religion, national origin, because you receive public income such
as veterans benefits, welfare or Social
Security, or because you exercise your rights
under Federal credit
laws such
as filing a billing error notice with a creditor.
Clarifies current
law's «undue hardship» exception to nondischargeability in bankruptcy
as it applies to
federal student loans by creating a rebuttable presumption that a debtor faces an «undue hardship» if the debtor is receiving disability benefits
under the Social
Security Act;
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.
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.
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.
Technical offenses - such
as «stock parking,» net capital, or margin rule violations (to give only examples from the
federal securities laws)- are thus potentially punishable
under the same statutory provisions that prohibit fraud.
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 -
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 -
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 -
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 -
securities laws, including the Sarbanes - Oxley Act.
Kristine Maher represents corporate clients in a variety of commercial litigation matters, including Employee Retirement Income
Security Act (ERISA) litigation and class action cases involving claims
under various state consumer protection
laws and
federal laws such
as the civil Racketeer Influenced and Corrupt Organizations (RICO) Act.
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.
Due to the fact that these separate accounts are investments in
securities, such
as stocks, these policies are regulated
under the
federal securities laws.
The SEC teamed up with CFTC to issue a joint statement on Friday, saying: «When market participants engage in fraud
under the guise of offering digital instruments — whether characterized
as virtual currencies, coins, tokens, or the like — the SEC and the CFTC will look beyond form, examine the substance of the activity and prosecute violations of the
federal securities and commodities
laws.»
«When market participants engage in fraud
under the guise of offering digital instruments — whether characterized
as virtual currencies, coins, tokens, or the like — the SEC and the CFTC will look beyond form, examine the substance of the activity and prosecute violations of the
federal securities and commodities
laws,» it said.
As such, these specific ICOs must operate
under the rule of
federal securities laws or risk invoking the SEC's wrath.
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.
The SEC ruled tokens offered and sold by The DAO are classified
as securities, and therefore fall
under federal securities laws.
Even more, many platforms for swapping digital currencies for cash or other cryptocurrencies fall
under the «exchange» umbrella
as defined by
federal securities laws.
Benefits, such
as employment protections, immigration, the ability to transfer Social
Security benefits to a spouse, and more than a thousand others
under federal law, do not apply to legally married or united same - sex partners.
This Site may contain statements, estimates or projections that constitute «forward - looking statements»
as defined
under U.S.
federal securities laws.
Cautionary Language Regarding Forward - Looking Statements This Site may contain statements, estimates or projections that constitute «forward - looking statements»
as defined
under U.S.
federal securities laws.
You will not act
as our employee
under the meaning of or application of any United States
federal or state
laws relating to unemployment insurance, old age benefits, social
security, worker's compensation, or any regulations which may impute any obligation or liability to ReferralExchange.com by reason of an employment relationship.