Sentences with phrase «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.

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

She has significant experience representing accounting firms in lawsuits and regulatory investigations under the federal securities laws.

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

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

Many online crypto exchanges do not currently meet this definition under federal securities laws and may be deemed as trading digital assets that are securities.

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

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.

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.

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).

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.

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.

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.

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.

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.

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

The fund restricts its investments to instruments that meet certain maturity and quality requirements under the federal securities laws applicable to money market funds.

Purchasers of shares sold short by the underwriters are entitled to the same remedies under the federal securities laws as any other purchaser of shares covered by the registration statement.

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.

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

KS: We have two cases: Warger v. Shauers, on the admissibility of evidence of juror dishonesty at voir dire, and Omnicare v. Laborers, on the actionability of statements of opinion 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.

We counsel clients on their obligations under federal securities laws and prepare regulatory filings, and work with boards of trustees, management and outside consultants on issues such as executive compensation and employee benefits.

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.

I do believe the Wyoming approach will work under federal securities law and am optimistic the SEC will agree.

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

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

«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.

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.

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.

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

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

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

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.

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.

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

These policies are regulated under the federal securities laws.

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

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

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