Trone cites the Securities and Exchange Act provision protecting investors who are buying securities in an offering.
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.
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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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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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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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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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.
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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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 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.
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.
The complaint alleges that BofA misled shareholders and violated the Securities Exchange Act of 1934.
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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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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.
Foreign securities are another option, but investors can buy them only through a securities firm, and the Foreign Exchange and Foreign Trade Control Act still puts obstacles in their way.
The Justice Department and the Securities and Exchange Commission have not hesitated in pursuing Foreign Corrupt Practices Act cases against companies involved in such conduct.
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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.
And today Senate Lautenberg, his counterpart, called on DOJ and the Securities and Exchange Commission to look at it under the Foreign Corrupt Practices Act.
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.
Under the JOBS Act, websites that want to act as crowdfunding investment platforms will have to register with the Securities and Exchange Commission, which must work with state regulators to make sure that all such crowdfunding is sound.
The Securities and Exchange Commission (SEC) is trying to come up with rules to implement the JOBS Act.
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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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.
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.
Before the JOBS Act, issuers with more than 500 shareholders had to file financial statements with the Securities and Exchange Commission.
Straight after the 1995 act, audit firms started doing less work, says Lynn Turner, formerly with the Securities and Exchange Commission but now at Colorado State University.
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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