Sentences with phrase «under the regulation a»

Pareteum has used, and intends to continue to use, its Investor Relations website as a means of disclosing material non-public information and for complying with its disclosure obligations under Regulation FD.

This means issuers under Regulation D have had to previously rely on private networking and word - of - mouth to market their offerings.

Li Yinhe, China's leading scholar and advocate of free sexuality, said in a Weibo post that under these regulations, «all audio - visual art will be revoked.»

It is not difficult to predict profit margins will fall under regulation and that current market cap valuations are predicated on unrealistic expectations.

This communication includes several «non-GAAP» financial measures as defined under Regulation G of the U.S. Securities Exchange Act of 1934, as amended.

In its recently published rulemaking agenda, the SEC set a target date of October 2015 to adopt final rules regarding the offer and sale of securities through crowdfunding and small and additional issues exemptions under Regulation A +.

Deborah Fuhr, managing partner at ETFGI, says ETFs are treated as mutual funds under regulations and are listed and traded on exchanges.

Loblaw lawyer Al Meghji argued Glenhuron Bank met the requirements for a foreign bank under the regulations and the CRA's allegations are without merit.

Under regulations that debuted in 2000, Porat is not allowed to selectively disclose «material nonpublic information» to analysts and other market professionals.

Following the primary dealer meetings, we solicit advice from the Treasury Borrowing Advisory Committee (a committee of the Securities Industry and Financial Markets Association (SIFMA) falling under the regulations of the Federal Advisory Committee Act and the Government Securities Act).

Tier 2 Offerings Under Regulation A

Under these regulations, employer contributions to a plan would be able to qualify as QMACs or QNECs if they satisfy applicable nonforfeitability and distribution requirements at the time they are allocated to participants» accounts, but need not meet these requirements when they are contributed to the plan.

This document contains proposed amendments to the definitions of qualified matching contributions (QMACs) and qualified nonelective contributions (QNECs) under regulations relating to certain qualified retirement plans that contain cash or deferred arrangements under section 401 (k) or that provide for matching contributions or employee contributions under section 401 (m).

First Democracy VC is a FINRA registered funding portal offering opportunities under Regulation CF.. Our team of investor relations associates is committed to personal relationships with our investors to provide high - touch customer service to help you to invest in startups.

While initial sales under Regulation D and Tier 2 of Regulation A are «pre-empted» from state regulation, meaning the states can't impose their regulations on those transactions, that's not true for secondary trading.

Additionally, while initial sales under Regulation D and Regulation A are «pre-empted» from state regulation (i.e. the states can't impose their registration requirements on these offerings), that's not the case for Regulation S.

On January 4, 2016, Chino's application was returned without further proceeding because the DFS said it was «unable to evaluate whether [Chino's] current or planned business activity would be considered Virtual Currency Business Activity that requires licensing under the Regulation.»

International Investors are covered under Regulation S rules as per our SAFT and supportive PPM.

Specifically, Regulation CF limits the amount individual investors may invest across securities offered under Regulation CF over a trailing 12 - month period.

Neither Uber Systems Spain, which is related to Uber Technologies nor the non-professional drivers had the necessary authorizations and licenses that are mandatory under the regulation of taxi services in Barcelona.

Rule 506 (c) under Regulation D is a type of offering with no limits on how much a company may raise.

To invest in securities offered under Regulation CF on SeedInvest, simply click on the «Invest» button available on the profile page of the company in mind.

Facebook uses the website http://investor.fb.com as a means of disclosing material non-public information and for complying with its disclosure obligations under Regulation FD.

Any organization that collects or processes data relating to EU citizens is likely to fall under the regulation, making it a -LSB-...]

BNY Mellon established sponsored DR programs under Regulation S for a trio of Nigerian companies.

Multiple Location Owners be aware: For purposes of sections 401, 408 (k), 408 (p), 410, 411, 415, and 416, under regulations prescribed by the Secretary, all employees of trades or businesses (whether or not incorporated) which are under common control shall be treated as employed by a single employer.

In addition, the guidance indicates that a person is an exchanger and a money transmitter under the regulations if he or she accepts convertible virtual currency from one person and transmits it to another person.»

The guidance applies only to convertible virtual currency and generally provides that administrators and exchangers of convertible virtual currency are money transmitters and therefore are money services businesses under the regulations, subject to any applicable limitation or exemption.

They make a distinction between centralized virtual currencies and decentralized ones (here targeting Bitcoin), «a person is a money transmitter under the regulations if he or she creates units of convertible virtual currency and sells them to a third party for real currency or its equivalent.

In accordance with Regulation Crowdfunding's requirements, you are not permitted to invest more than a certain amount in offerings made under Regulation Crowdfunding (including those not made through the Site) during any single 12 month period, which amount is determined based on your own financial circumstances.

Title II enabled equity crowdfunding by requiring the SEC to lift the ban on public marketing of offerings made under «Reg D.» These are offerings that may be made to accredited investors under Regulation D of Rule 506.

Furthermore, geographical coverage for exchanges is under regulation as well.

Catherine's professional experience includes working in Venture Capital in Silicon Valley, advising startups and accelerators, being a co-founder of a fintech startup under the Regulation Crowdfunding.

Title III and Title IV of the JOBS Act has provided similar access to investors under Regulation A + and Regulation CF +.

There are some angel investments that are still exclusive to accredited investors though, like private placements under Regulation D. Ordinarily, companies that sell securities to the public must register their offering with the SEC.

Separately, the SEC issued an order settling claims with Harbinger related to violations of Rule 105 under Regulation M.

Ouisa Capital encourages FINRA to use its position in the regulation of securities to help pursue the increase of issuer thresholds under Regulation CF.. We encourage FINRA to raise with the SEC the possibility of increasing the issuer threshold on a twelve month pilot basis to evaluate whether the increase achieves the desired effect of increasing capital formation while protecting the investing public from unscrupulous issuers that could use Regulation CF for nefarious purposes.

As such, HighLow is regulated by an Australian body; ASIC under regulation number 364264.

• the Trust is determined to be a «money transmitter» under the regulations promulgated by FinCEN under the authority of the US Bank Secrecy Act and is required to comply with certain FinCEN regulations thereunder, and the Trust receives notice from the Sponsor that, because of that determination, termination of the Trust is advisable;

To the extent that the activities of the Trust cause it to be deemed a «money transmitter» under the regulations promulgated by FinCEN under the authority of the US Bank Secrecy Act, the Trust may be required to comply with FinCEN regulations, including those that would mandate the Trust to implement anti-money laundering programs, make certain reports to FinCEN and maintain certain records.

The Board has concluded that each member of the Audit and Risk Committee is «financially literate» as defined under National Instrument 52 - 110 — Audit Committees and as required under NYSE rules and each is an «audit committee financial expert» under the regulations promulgated by the Securities and Exchange Commission.

That was the same year that Title II of the JOBS Act launched allowing general solicitation (SEC lingo for advertising) under Regulation... Read More

Under the regulations, for example, JPMorgan has to maintain a bigger capital cushions than its peers, a metric that helps determine whether the bank can increase its payments to shareholders.

Fees and other charges equal as nearly as may be to the cost of the accreditation services rendered under the regulations, including initial accreditation, review of annual reports, and renewal of accreditation, shall be assessed and collected from applicants for initial accreditation and accredited certifying agents submitting annual reports or seeking renewal of accreditation in accordance with the following provisions:

Sellers may supply non-Quarantine and Pre-Shipment methyl bromide to a person who has a current critical use exemption approved by the Parties to the Montreal Protocol (an exempt person) only if the seller is listed as the nominated supplier for that exemption holder on the current non-Quarantine and Pre-Shipment Exemption List (and, if also required, the non-Quarantine and Pre-Shipment Intermediate Supplier List - see below) under the Regulations.

The term «gluten free» is covered by EU legislation under Regulation (EU) 828/2014 for the labelling of gluten free foods.

Under this regulation, the European Commission requires Member States to collect data on biological and economic aspects of many European fisheries and relate fisheries sectors.

Anyone selling or using methyl bromide must be aware of their obligations under these Regulations.

Mercedes were forced to make an unscheduled gearbox change on his W08 and under the regulations, he'll drop back five places from where he qualifies.

No prosecution has been brought under these Regulations, even though companies and enforcement authorities sometimes acknowledge they have been broken, as in promotions of Nestlé SMA infant formula across the Tesco chain at the beginning of the year.