Sentences with phrase «under securities laws»

This document is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution would be unlawful under the securities laws of such.

Our employees are not licensed under securities laws to offer personal, financial, or investment advice.

Participation in private placements is conditional on providing certain other information relating to your eligibility under securities laws, including client applications, ID verification and certain financial information.

Perhaps more importantly, regulation of cryptocurrencies under securities laws bears incredible implications for the cryptocurrency market as a whole.

For certain limited purposes (particularly under the securities laws) you're treated as if you owned the stock during the period you held the option.

A «private placement» is something directly negotiated between the issuer and a lender or group of lenders and is restricted in trading under securities law.

Reporting issuers (organizations subject to ongoing public disclosure obligations under securities laws and securities of which are generally traded on a public stock exchange) have additional obligations.

Although our employees may answer your general customer service questions, they are not licensed under securities laws to address your particular investment situation.

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.

Nothing on this website should be considered a solicitation to buy or an offer to sell shares of any DoubleLine Fund in any jurisdiction where the offer or solicitation would be unlawful under the securities laws of such jurisdiction.

Around the time of the publication of the OSC Staff Notice, a number of provincial securities regulators granted limited relief from dealer registration requirements under securities laws where coins issued in an ICO were offered as securities.

MELA or FAME Student Loan Revenue Bonds described in an Official Statement may not be offered or sold in any jurisdiction in which such offer or sale would be unlawful prior to their registration, qualification or exemption under the securities laws of such jurisdiction.

the company has materially complied with the disclosure requirements applicable to the distribution under the securities law of the foreign jurisdiction, or the distribution is exempt from such requirements; and

Loans may be structured such that they are not securities under securities law, and in the event of fraud or misrepresentation by a borrower, lenders may not have the protection of the anti-fraud provisions of the federal securities laws.

Title III of the JOBS Act created a federal exemption under the securities laws so that this type of funding method can be used to offer and sell securities.

Further, the coins in each ICO are subject to resale restrictions under securities law which impose a fairly stringent hold period where further trading and transfer of the coins are prohibited indefinitely (unless certain rigid criteria are met).

«If defendants had revealed material information in a timely fashion to the general public (including plan participants), thereby allowing informed plan participants to decide whether to invest in the Amgen Common Stock Fund, they would have simultaneously satisfied their duties under both securities laws and ERISA,» the court wrote in its opinion.

Conducting an IPO, with all the legal oversight and accounting input needed under securities law, is a totally different story.

In addition to securities offerings, Doug regularly advises clients about disclosure and compliance questions under the securities laws and rules of the NYSE and NASDAQ.

A dispute between a pension fund and a broker arising out of the sale of collateralized mortgage obligations; the case contained allegations under the securities laws and ERISA

The Canadian Securities Administrators have issued a consultation paper [1] that, if it were to result in changes to relevant rules under securities law, could affect the composition of boards of directors and key committees of Canadian public companies.

In his securities practice he has represented issuers and underwriters in public offerings and private placements; prepared and reviewed proxy statements and other periodic filings under the Exchange Act; represented clients in proxy contests; represented non-interested directors of an investment company; and handled civil litigation under the securities laws.

He also defends corporations, directors and officers in actions arising under securities laws, deceptive trade practice statutes, RICO, ERISA, and the Clayton and Sherman Acts, as well as in grand jury investigations.

Singapore's de facto central bank has published new guidelines on initial coin offerings (ICOs), outlining how token sales would be viewed under its securities laws.

CoinDesk The SEC's recent Munchee order offers a significant insight into its views of how to analyze ICOs under securities laws, says Katherine Cooper.

Coin Center has released a guide framework for how it believes bitcoin and blockchain tech should be regulated under securities law.

In recent days, regulators in the US and Singapore have issued new statements that indicate some types of token offerings may be captured under securities law.

This press release does 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 jurisdiction in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of such jurisdiction.

Before launching a cryptocurrency or a product with its value tied to one or more cryptocurrencies, its promoters must either (1) be able to demonstrate that the currency or product is not a security or (2) comply with applicable registration and other requirements under our securities laws.

The Funds are not registered under the securities laws of the U.S., U.K. or any other jurisdiction outside of Canada.

the company has materially complied with the disclosure requirements applicable to the distribution under the securities law of the foreign country, or the distribution is exempt from such requirements; and

Under the regulatory framework of Manitoba, binary options are regulated as securities under the securities laws.

Annually a MIC that issues its shares through a prospectus and registration exemption under securities law and regulations (e.g. not publicly traded companies), will be responsible for providing their investors...

Under the securities laws in Canada, an «insider» of Caledonia (which would include a shareholder who beneficially owns, controls or has direction over more than 10 % of Caledonia's common shares) is required to report their holdings in accordance with the applicable regulations.

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.

NO OFFER OR SOLICITATION This document does not constitute an offer to sell or the solicitation of an offer to buy any securities or a solicitation of any vote or approval nor shall there be any sale of securities in any jurisdiction in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such jurisdiction.