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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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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The pre-eminent statutory authority for civil and criminal liability exposure for failure to disclose in securities transactions is Section 10(b) of the 1934 Act and its regulatory offspring Rule 10b-5.
The funding portal also must become a member of a national securities association that is registered under Section 15A of the Exchange Act.
Unfortunately, the burden of proof for a Section 302 certification allegation under the securities laws is turning out to be very high.
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One of the most important provisions of Dodd-Frank to retail investors was Section 913, which required the Securities and Exchange Commission to consider a fiduciary duty for brokers.
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Mark and Andrew were employees of Bernard L. Madoff Investment Securities LLC, though they worked in the trading section, allegedly separate from the fraudulent investment management and advisory divisions.
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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Brokers may treat those as securities, but you will want to treat them as Section 1256 contracts instead per our content.
The Securities and Exchange Commission (SEC) today adopted rules under Section 922 of the Dodd-Frank Act to create a whistleblower program that rewards individuals who provide the agency with tips that lead to successful enforcement actions.
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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.
Last week the Securities and Exchange Commission eased stress among company boards by pushing back the Section 404 compliance deadline to June 2004 rather than by the end of this year.
But the legal-proceedings section of the company's second-quarter report to the Securities and Exchange Commission makes sobering reading.
More information about these and other risks, uncertainties and assumptions that could affect our forward-looking statements can be found in section entitled "Risk Factors" included in our periodic reports filed with the Securities and Exchange Commission ("SEC"), including our Annual Report on Form 10-K for the year ended December 31, 2011, filed with the SEC on February 21, 2012.
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Schering-Plough responded in a "Frequently Asked Questions" section of its Web site, which was also filed with the U.S. Securities and Exchange Commission.
The bureaucrats' side was showcased at the U.S. Securities and Exchange Commission and Public Company Accounting Oversight Board roundtable hearing last week on Sarbanes-Oxley's section 404.
Section 17a1 is a more appropriate claim in the context of a fraud in connection with the offering of securities.
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