Sentences with phrase «with federal securities laws»

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.

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.

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

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.

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.

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.

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.

Not exact matches

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.»

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.

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.

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

In that case, led by the civil division of the United States attorney's office for the Eastern District of California, prosecutors found that JPMorgan flouted federal laws with its sale of subprime mortgage securities from 2005 to 2007.

And under the settlement deal with the S.E.C., JPMorgan took the unusual step of acknowledging that it had violated federal securities laws.

A CFPB spokesperson said in an email to Vox that the bureau is authorized to take «supervisory and enforcement action against certain institutions engaged in unfair, deceptive, or abusive acts or practices, or that otherwise violate federal consumer financial laws,» including the failure of institutions to engage in «reasonable data security practices» in connection with consumer report information.

A bill currently in the US Senate would call on federal personnel, including from the Department of Homeland Security, to develop and share with other law enforcement bodies a threat assessment describing how cryptocurrencies could be used to support terrorist activity.

None of the Reporting Persons nor any manager or executive officer of the Reporting Persons, has, during the past five years, (a) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), or (b) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting, or mandating activities subject to, Federal or State securities laws or a finding of any violation with respect to such laws.

A long - awaited bill will bring federal corporate governance laws up to speed with standards already expected by the country's securities exchanges and regulators, lawyers say.

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 federal securities laws provide companies with a number of exemptions.

Arranging debt financing is less complicated because the company is not required to comply with federal and provincial securities laws and regulations.

«We have talked a lot with the DOL, and we've tried to coordinate and work with them, but they have to operate under the Employee Retirement Income Security Act (ERISA), which is quite a different statute than the federal securities laws,» Schapiro said.

At various times after the date of this prospectus, the remaining shares will become available for resale in the public market, in compliance with the requirements of the federal securities laws and in accordance with lock - up agreements that certain of the holders of these shares have with the underwriters.

FINRA's Market Regulation department oversees and regulates over-the-counter (OTC) trading of exchange - listed and non-exchange-listed securities for compliance with FINRA rules and federal securities laws.

This is consistent with prior messaging given that Chairman Clayton requested on December 11 that the SEC's Enforcement Division «vigorously» enforce and recommend action against ICOs that may be in violation of the federal securities laws.

The SEC's complaint charges Lacroix, Paradis - Royer, and PlexCorps with violating the anti-fraud provisions, and Lacroix and PlexCorps with violating the registration provision, of the U.S. federal securities laws.

This makes itBit the only U.S. - chartered and supervised bitcoin exchange able to offer unique protection and security for customers in full compliance with New York and federal law.

All companies that sell securities, whether through crowdfunding or otherwise, must conform with federal law regarding the selling, advertising, and solicitation of said securities.

In the USA, the federal securities laws do not allow any company to offer or even sell securities unless they are registered with SEC (Securities and Exchange Commission) or there is an exception under which they don't have to follow with this regsecurities laws do not allow any company to offer or even sell securities unless they are registered with SEC (Securities and Exchange Commission) or there is an exception under which they don't have to follow with this regsecurities unless they are registered with SEC (Securities and Exchange Commission) or there is an exception under which they don't have to follow with this regSecurities and Exchange Commission) or there is an exception under which they don't have to follow with this registration.

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.

In the first complaint, the SEC charged Falcone, Harbinger and Peter Jenson, a former Managing Director and Chief Operating Officer of Harbinger, with violations of the federal securities laws in relation to the misappropriation of client assets (through the making of a $ 113.2 million loan from a fund managed by Harbinger to Falcone to pay his personal taxes) and the granting of undisclosed preferential redemption rights to certain investors.

He litigated major law reform and class action cases in the federal court of appeals and Supreme Court on Social Security, Medicaid, Aid to Families with Dependent Children, SNAP / Food Stamps and other public benefits issues, and the rights of children born out of wedlock.

In accordance with Art. 10.1 of Law No. 149 - FZ, these responsibilities are to provide the federal executive body in the field of security (the FSB of Russia) with the information necessary to decode received, transmitted, delivered and (or) processed electronic messages.

The impression a dispassionate observer would have from the failure of security and law enforcement during the Bayelsa election (which was conducted in Nigeria's smallest state with the lowest number of registered voters) would be that the federal government permitted or condoned the strong - arm tactics of the ruling party's candidate in his ultimately vain effort to secure that state's rulership by force.

The Senate's budget proposals include a provision that would bar local governments — including police departments and district attorney's — from adopting laws or policies that «impede or interfere» with federal homeland security laws.

A new interactive online tool, launched today by AAAS, makes it easier to spot U.S. federal funding trends such as the continuing rise in mandatory spending for programs such as Social Security with spending levels set by law, a shift which has left a smaller percentage of the overall federal budget for science and other so - called «discretionary» expenses.

In addition, law enforcement agencies typically have to sign nondisclosure agreements with Harris Corp. in order to receive the federal Homeland Security funding needed to purchase the technology.

«Criminal background checks provide users of online dating with a false sense of security,» said Bill Ashworth, director of state government affairs at Yahoo! No federal law imposes Internet restrictions on convicted sex offenders, but Florida and Nevada have enacted such measures.

The Match Group is getting sued after being accused of violating federal securities law in connection with last year's IPO.

There's the ongoing special - counsel investigation into whether the Trump campaign aided a Russian campaign to aid Trump's candidacy and defeat his Democratic rival, Hillary Clinton; there's the associated inquiry into whether the president obstructed justice when he fired former FBI Director James Comey, whom he had asked not to investigate his former national - security adviser; there are the president's hush - money payments to women with whom he allegedly had extramarital affairs, made through his personal attorney, Michael Cohen, and facilitated by corporate cash paid to influence the White House; there is his ongoing effort to interfere with the Russia inquiry and politicize federal law enforcement; there are the foreign governments that seem to be utilizing the president's properties as vehicles for influencing administration policy; there's the emerging evidence that Trump campaign officials sought aid not only from Russia, but from other foreign countries, which may have affected Trump's foreign policy; there are the ongoing revelations of the president's Cabinet officials» misusing taxpayer funds; there is the accumulating evidence that administration decisions are made at the behest of private industry, in particular those in which Republican donors have significant interests.