The complaint alleges that BofA misled shareholders and violated the Securities Exchange Act of 1934.
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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 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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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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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 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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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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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.
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.
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.
In March, 2011, Sands disclosed that it was being investigated by the Department of Justice and the Securities and Exchange Commission for potential violations of the Foreign Corrupt Practices Act.
The SBA's Office of Advocacy monitors federal agencies like the Environmental Protection Agency, the Occupational Safety and Health Administration, the Department of Commerce and the Securities and Exchange Commission--in accordance with the Regulatory Flexibility Act of 1980--to make sure they aren't creating new rules that place a disproportionate burden on small businesses.
The funding portal also must become a member of a national securities association that is registered under Section 15A of the Exchange Act.
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 tasked the Securities and Exchange Commission (SEC) to gauge the level of financial literacy that exists in America among individual investors.
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 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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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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The Dodd Frank legislation aimed to change this, by requiring the Securities and Exchange Commission to study the possibility of having something called the fiduciary standard, that is, the requirement to act in their clients best interests, apply to all sellers of financial services, not just investment advisers as the law currently reads.
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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.
President-elect Obama rounded out his economic team on Thursday, naming Mary Schapiro to head the Securities and Exchange Commission, an agency that has been the focus of criticism in recent weeks for failing to act on questionable practices that may have cost investors billions of dollars.
Under the Dodd-Frank financial reform act, which Wall Street and brokers abhor, the wise drafters of the law asked the Securities and Exchange Commission (SEC) to study a uniform fiduciary code for brokers.
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