Investment companies are also subject to regulations of the Securities Act of 1933, FINRA, and the Securities Exchange Act of 1934.
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The Securities Act, 15 U.S.C.78u-1(e), provides for a financial reward to an individual who provides information to the SEC regarding insider trading.
On August 29, 2012, the SEC released for comment a set of proposed amendments to Rule 506 of Regulation D under the Securities Act of 1933.
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This press release contains forward-looking statements that are subject to the safe harbors created under the Securities Act of 1933 and the Securities Exchange Act of 1934.
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This announcement contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934.
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But the municipal securities market is thinly traded and largely exempt from the controls of both the Securities Act of 1933 and the Securities Exchange Act of 1934.
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Since the Securities Act of 1933, public companies have been required to get independent audits each year, assuring investors that a fresh set of eyes has inspected the books.
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Forward-Looking Statements This announcement contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934.
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This release contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended.
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Ultimately, the legality of AOCs securitizing the care they provide patients falls to the Securities Act of 1933 and the Securities and Exchange Act of 1934, the two primary laws governing securitization.
The Glass-Steagall banking Act of 1933, the Securities Act of 1933 or the Securities Exchange Act of 1934 were perhaps the most powerful and important financial laws ever created in the United States.
In recent cases brought under sections 17(a)(2) and 17(a)(3) of the Securities Act, the Securities and Exchange Commission has alleged that there was fraudulent conduct but does not allege that the defendant acted with scienter.
On April 5th 2012, President Obama signed the JOBS Act (shorthand for Jumpstart Our Business Startups) into law, which changed numerous components of the Securities Act of 1933, and is the legislation that largely deregulates equity crowdfunding.
Congress passed historic banking regulations during the New Deal, including the Glass-Steagall Banking Act of 1933, the Securities Act of 1933, and the Public Utility Holding Company Act of 1935, all of which vastly expanded the role of the federal government in overseeing and regulating Wall Street.
It also recommends that the landmark Sarbanes-Oxley corporate governance act of 2002 be incorporated into the Securities Exchange Act of 1934, giving regulators more authority over corporate issues.
The SEC charged Rajaratnam with violations of the Securities Exchange Act of 1934, while the extent of the criminal charges was not yet known.
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The Order found that the NYSE violated Rule 603(a) of Regulation NMS and the record retention provisions of Section 17(a)(1) of the Securities Exchange Act and Rule 17a-1, and NYSE Euronext, which supplied the personnel responsible for these systems and compliance, caused the violations.
The first major piece of legislation, the Private Securities Litigation Reform Act enacted in 1995, specifically targeted securities cases while the Class Action Fairness Act, passed some years later, placed broader obstacles before potential plaintiffs.
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The complaint alleges that BofA misled shareholders and violated the Securities Exchange Act of 1934.
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SEC, has been examining the whole body of regulations that has accrued since the 1933 Securities Act.
For example, the Securities Exchange Act (1934) and the Investment Company Act (1940) require that regulators consider the likely impact of a proposed regulation on efficiency, competition and capital formation.
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That creates potential problems under the Securities Exchange Act, which requires auditors to report instances of possible illegality to the board and to be satisfied that the corporation is responding appropriately.
The SEC charged Dardenwith a single violation of the Securities Exchange Act of 1934, and sought injunctive relief, disgorgement of all ill-gotten gains (with interest), civil monetary penalties, and any other appropriate relief.
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In its decision Tuesday, the court determined that only those companies that make disclosures to investors, or who are otherwise responsible to them, can be held liable for defrauding investors, according to the Securities Exchange Act of 1934.
Section 17(e) of the Securities Exchange Act of 1934 (as amended by the Sarbanes-Oxley Act of 2002) requires every registered broker or dealer to annually file certain financial statements with the SEC that are certified by an audit firm that is also registered with the PCAOB.
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Congress passed the Public Securities Litigation Reform Act to halt the abusive practice of paying kickbacks to plaintiffs in securities cases, which sent former top plaintiff lawyers Bill Lerach and Mel Weiss to jail.
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Trone cites the Securities and Exchange Act provision protecting investors who are buying securities in an offering.
With the passage of the Private Securities Litigation Reform Act, which required class action firms to seek the largest holders of securities to serve as lead plaintiffs in their cases, suddenly local pension lawyers were being offered substantial referral fees by national class action firms if they could persuade their pension clients to lead such class actions.
The association of securities regulators says the JOBS Act doesn't do enough to protect investors.
The Emergency Economic Stabilization Act gave the Securities and Exchange Commission the authority to suspend the mark-to-market rules, which went into effect in the fall of 2007, just in time for the credit crisis.
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