The complaint alleges that BofA misled shareholders and violated the Securities Exchange Act of 1934.
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Trone cites the Securities and Exchange Act provision protecting investors who are buying securities in an offering.
It updates the Commodity Exchange Act (CEA) Section 2(c)(2)(D) Spot Commodities (Metals) and Section 2(c)(2)(E) Spot Forex.
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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National Australia Bank, 130 S. Ct. 2869 (2010), the Supreme Court significantly limited the extraterritorial scope of Section 10(b) of the Exchange Act.
State court enforcement of FINRA fines might well, therefore, entail interpretation of the Exchange Act notwithstanding the exclusive jurisdiction of the federal courts.
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The funding portal also must become a member of a national securities association that is registered under Section 15A of the Exchange Act.
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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Out of 134 broker-dealer enforcement cases examined last year by the SEC, roughly 95 cases, or 71%, involved allegations of fraud under the Exchange Act.
The auditor for a firm like this must annually review the procedures for safeguarding customer and firm assets in accordance with the Commodity Exchange Act.
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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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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.
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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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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Pursuant to the U.S. Securities Exchange Act of 1933, the SEC requires a high degree of disclosure and transparency regarding bonds underwritten by U.S. firms and offered in New York.
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.
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.
Second, where FINRA enforces statutory or administrative rules, or enforces its own rules promulgated pursuant to statutory or administrative authority, it is exercising the powers granted to it under the Exchange Act.
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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.
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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Section 10A(a) of the Exchange Act requires each audit to include procedures designed to provide reasonable assurance of detecting illegal acts that would have a direct and material effect on the determination of financial statement amounts.
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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.
Title III of the JOBS Act adds new Section 3(h) to the Exchange Act which requires the SEC to exempt, conditionally or unconditionally, an intermediary operating a funding portal from the requirement to register with the SEC as a broker.
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 investment products and investment funds described in this Website are not registered under the U.S. Securities Act of 1933 and its amendments, and should not be offered or sold to individuals in the United States as required by the Security and Exchange Act of 1933.
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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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