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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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.
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.
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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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 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 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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The complaint alleges that BofA misled shareholders and violated the Securities Exchange Act of 1934.
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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.
This document contains forward-looking statements, which are made pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995.
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Certain statements in this communication and the attachments may constitute "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995.
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Instead of calling this the Financial Reform Bill it should be called the Securities Lawyer Employment Act of 2010.
This release contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995.
This press release contains "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995.
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This news release includes "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995.
This press release contains "forward-looking statements" (within the meaning of the Private Securities Litigation Reform Act of 1995), which are based on current expectations and assumptions about Corning's financial results and business operations, that involve substantial risks and uncertainties that could cause actual results to differ materially.
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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.
Statements contained in this press release about The Medicines Company that are not purely historical, and all other statements that are not purely historical, may be deemed to be forward-looking statements for purposes of the safe harbor provisions under The Private Securities Litigation Reform Act of 1995.
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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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.
Comes December 2009, amidst the shards of what once was, LBHI entered into a stipulation with its debtors and LBI as part of the Securities Investors Protection Act (SIPA) liquidation of LBI.
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