Sentences with phrase «with federal securities»

The statement also hints at the further scrutiny of cryptocurrency exchanges to protect investors, saying, «the SEC staff will continue to focus on platforms that offer trading of digital assets and their compliance with the federal securities laws.»

«In advancing the SEC's mission to protect investors, the SEC staff will continue to focus on platforms that offer trading of digital assets and their compliance with the federal securities laws,» the SEC added.

«In advancing the SEC's mission to protect investors, the SEC staff will continue to focus on platforms that offer trading of digital assets and their compliance with the federal securities laws,» the SEC said.

He has also maintained that tZero's offering complies with federal securities laws.

If you sold tokens to unaccredited investors, or otherwise have not complied with the federal securities laws, make it right before the SEC finds you.

Though the US Securities and Exchange Commission has determined ICOs must be held in accordance with federal securities law, warning of «pump and dump» schemes, a total crackdown has yet to occur stateside.

The approval process required the Wall Street giants to self - certify compliance with federal securities laws.

Moreover, consistent with the federal securities laws in connection with our direct listing, we have not consulted with Registered Shareholders or other existing shareholders regarding their desire to sell shares in a public market or discussed with potential investors their intentions to buy our ordinary shares in the open market.

LLC, as our financial advisor («Morgan Stanley»), in order for the DMM to effect a fair and orderly opening of our ordinary shares on the NYSE, without coordination with us, consistent with the federal securities laws in connection with our direct listing.

Celebrities who endorse an investment often do not have sufficient expertise to ensure that the investment is appropriate and in compliance with federal securities laws.

In any event, the crypto community is now on full notice that the SEC will focus on prior token and SAFT offerings that did not comply with the federal securities laws; and it can generally seek disgorgement and money penalties for such misconduct that occurred within the last five years.

Obviously, the SEC did not make a comparable offer to participants in the crypto community who may not have complied with the federal securities laws.

I have guided several dozen U.S. public companies and foreign private issuers in complying with federal securities law periodic reporting requirements and new regulations including the JOBS Act, the Dodd - Frank Act and the Sarbanes - Oxley Act.

He also represents institutions and individuals in regulatory investigations regarding compliance with federal securities laws and the rules governing self - regulatory organizations.

Writing on November 16, Auerbach advised Ronk that the legislature's long - time budget review accountants, PFK O'Connor Davies of Westchester, had settled a dispute with the federal Securities Exchange Commission on charges of «issuing fraudulent audit reports» regarding its auditing work with The town of Ramapo.

Celebrities who endorse an investment often do not have sufficient expertise to ensure that the investment is appropriate and in compliance with federal securities laws.

Even before being hit with a federal securities fraud lawsuit by the SEC and independent perjury charges by the DOJ last month, the founder of a now - defunct cryptocurrency exchange had left a trail of lawsuits.

Shenoi says that's not unusual — his students commonly get six or eight job offers with federal security agencies.

Regulators have drawn a clear line in the sand in how they deal with security tokens, warning startups that they will scrutinize any token offering that is deemed to fall in line with federal security laws.

Utilized knowledge of International Customs laws, regulations, policies and procedures related to admissibility, control, entry and export of merchandise, and ensured compliance with all federal security rules and regulations pertaining to the classified document control system.

Not exact matches

JPMorgan is working with state and federal regulators over mortgage securities charges.

Stengel is joined on stage by Doug Ellenoff, a corporate and securities attorney with a specialty in business transactions and corporate financing who has been actively involved in working with federal government agencies as the rules are being rewritten, and Pelli Wang (on the right end of the couch), the venture director at SeedInvest, a leading equity crowdfunding platform and early - stage VC fund.

On Tuesday, the Federal Communications Commission voted to move forward with a new rule to block federal subsidies from telecommunications equipment suppliers that «raise national security concerns.Federal Communications Commission voted to move forward with a new rule to block federal subsidies from telecommunications equipment suppliers that «raise national security concerns.federal subsidies from telecommunications equipment suppliers that «raise national security concerns.»

If your employer chooses to provide a retirement plan, then it must comply with the requirements and standards mandated under the federal Employee Retirement Income Security Act (ERISA).

As the firestorm over Trump's comment began late last week, the White House and Trump's National Security Council provided no guidance to the State Department about what to say to foreign countries who were incensed, said a U.S. official familiar with the conversations between the White House and other federal agencies.

«The risk that the Russian government, whether acting on its own or in collaboration with Kaspersky, could capitalize on access provided by Kaspersky products to compromise federal information and information systems directly implicates U.S. national security.»

«For any NBAA event, our top priority is the safety and security of all participants, and we are in coordination with federal, state and local officials to ensure that show participants are in a safe, secure environment.»

A Texas man who operated Bitcoin Savings and Trust was charged on Thursday with bilking his investors, in what prosecutors called the first federal criminal securities fraud case arising from a bitcoin - related Ponzi scheme.

McClure has worked with the federal government on cyber security issues to help repair the damage from a major 2015 hack on the Office of Personnel Management.

J. P. Morgan originally agreed to pay $ 2 a share for Bear Stearns, with the Federal Reserve promising to cover $ 30 billion of mortgage securities to get the deal done.

But S.Y. Lee, a spokesman for the DHS, told Fortune that the government agency coordinates «national efforts to strengthen the security and resilience of critical infrastructure, working with our federal and industry partners across the country to raise awareness about evolving threats and promote measures to reduce risks to systems we all rely on.»

They allege «violations of the federal securities laws in connection with statements regarding our cybersecurity systems and controls» and are seeking «unspecified monetary damages, costs and attorneys» fees.»

«In coordination with the French security authorities the federal police are strengthening their control in the area of cross-border traffic into France,» the police said in a statement.

The suspect in question, Reality Leigh Winner, a 25 - year - old federal contractor based in Atlanta with the defense firm Pluribus International, had been found due to a series of security flubs, according to the FBI.

According to The New York Times, Giuliani «used his clout with the Justice Department to press the federal authorities to offer a less onerous punishment to the company after allegations that security problems at its warehouses might have contributed to black market sales.»

Even with the act's regulations in place, there will probably be lingering questions about whether crowdfunding sites are serving merely as information portals or as securities broker - dealers that must register with federal regulators.

In May, Soupman's former chief financial officer, Robert Bertrand, was indicted for tax evasion after being charged with 20 counts of failing to pay Medicare, Social Security and federal income taxes.

The bank said it had agreed to settle the lawsuit with the U.S. Federal Housing Finance Agency (FHFA) after being accused of mis - selling $ 32 billion of mortgage - backed securities before the global financial crisis.

The Department of Homeland Security's communications with state election officials were «impeded by state officials» mistrust of federal government overreach coupled with an unprecedented level of Russian cyber intrusions.»

Rigrodsky & Long, P.A., with offices in Wilmington, Delaware, Garden City, New York, and San Francisco, California, has recovered hundreds of millions of dollars on behalf of investors and achieved substantial corporate governance reforms in numerous cases nationwide, including federal securities fraud actions, shareholder class actions, and shareholder derivative actions.

Cummings said in the letter, which he wrote with the top Democrat on the House Foreign Affairs Committee, Rep. Eliot Engel, that «it appears that General Flynn violated federal law by omitting this trip and these foreign contacts from his security clearance renewal application in 2016 and concealing them from security clearance investigators who interviewed him as part of the background check process.»

The office, the people said, initially planned to sue JPMorgan as soon as Tuesday over accusations that the bank flouted federal laws with its sale of subprime mortgage securities from 2005 to 2007.

These risks and uncertainties include: Gilead's ability to achieve its anticipated full year 2018 financial results; Gilead's ability to sustain growth in revenues for its antiviral and other programs; the risk that private and public payers may be reluctant to provide, or continue to provide, coverage or reimbursement for new products, including Vosevi, Yescarta, Epclusa, Harvoni, Genvoya, Odefsey, Descovy, Biktarvy and Vemlidy ®; austerity measures in European countries that may increase the amount of discount required on Gilead's products; an increase in discounts, chargebacks and rebates due to ongoing contracts and future negotiations with commercial and government payers; a larger than anticipated shift in payer mix to more highly discounted payer segments and geographic regions and decreases in treatment duration; availability of funding for state AIDS Drug Assistance Programs (ADAPs); continued fluctuations in ADAP purchases driven by federal and state grant cycles which may not mirror patient demand and may cause fluctuations in Gilead's earnings; market share and price erosion caused by the introduction of generic versions of Viread and Truvada, an uncertain global macroeconomic environment; and potential amendments to the Affordable Care Act or other government action that could have the effect of lowering prices or reducing the number of insured patients; the possibility of unfavorable results from clinical trials involving investigational compounds; Gilead's ability to initiate clinical trials in its currently anticipated timeframes; the levels of inventory held by wholesalers and retailers which may cause fluctuations in Gilead's earnings; Kite's ability to develop and commercialize cell therapies utilizing the zinc finger nuclease technology platform and realize the benefits of the Sangamo partnership; Gilead's ability to submit new drug applications for new product candidates in the timelines currently anticipated; Gilead's ability to receive regulatory approvals in a timely manner or at all, for new and current products, including Biktarvy; Gilead's ability to successfully commercialize its products, including Biktarvy; the risk that physicians and patients may not see advantages of these products over other therapies and may therefore be reluctant to prescribe the products; Gilead's ability to successfully develop its hematology / oncology and inflammation / respiratory programs; safety and efficacy data from clinical studies may not warrant further development of Gilead's product candidates, including GS - 9620 and Yescarta in combination with Pfizer's utomilumab; Gilead's ability to pay dividends or complete its share repurchase program due to changes in its stock price, corporate or other market conditions; fluctuations in the foreign exchange rate of the U.S. dollar that may cause an unfavorable foreign currency exchange impact on Gilead's future revenues and pre-tax earnings; and other risks identified from time to time in Gilead's reports filed with the U.S. Securities and Exchange Commission (the SEC).

The former national security adviser Michael Flynn has been charged with making false statements to federal investigators about his conversations last December with Russia's ambassador to the US at the time, Sergey Kislyak.

JPMorgan Chase, seeking to avert a wave of litigation from the government, is negotiating a multibillion - dollar settlement with state and federal agencies over the bank's sale of troubled mortgage securities to investors in the run - up to the financial crisis.

This procedural tool would allow the chamber to pass certain kinds of legislation which affects the federal budget — including spending on programs like Obamacare, Medicare, Medicaid, welfare, and Social Security — with a simple majority.

The settlements over the trading loss in London — reached with the Securities and Exchange Commission, the Office of the Comptroller of the Currency, the Federal Reserve and the Financial Conduct Authority in London — laid bare a pattern of «deficiencies» in JPMorgan's oversight.

The plan administrator has discretion, however, to establish written conditions and procedures for the transfer of awards to other persons or entities, provided that such transfers comply with applicable federal and state securities laws and are not made for value, other than nominal value or certain transfers to family members.

On September 17, 2015, the Washington Securities Division announced that it had adopted a final rule to require notice filings in connection with Tier 2 securities offerings under federal RegSecurities Division announced that it had adopted a final rule to require notice filings in connection with Tier 2 securities offerings under federal Regsecurities offerings under federal Regulation A.

Member Regulation examines all firms for compliance with FINRA, MSRB and SEC rules, and federal securities laws.