securities law

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  • noun

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the body of laws governing the issuance and selling of securities

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While plaintiffs' lawyers couldn't accuse corporations of violating federal securities laws (those claims may be made in federal courts only), they could accuse corporations of common law fraud or violating state (as opposed to federal) securities laws.
Circuit Court of Appeals, do not overturn a split decision by a three-judge panel of the circuit, ``those working on behalf of a bidder planning a tender offer may engage in insider trading knowing they cannot be held responsible in either a civil or criminal forum for their actions under the federal securities laws,'' wrote David Lillehaug, the U.
The court summarized its ruling by stating: "When a company fails, it does not automatically mean that a violation of the securities laws has occurred.
He has extensive experience in corporate finance and securities law, as well as mergers and acquisitions.
The new rules require attorneys to report evidence of a material violation of securities law or breach of fiduciary duty or similar violation, by a company or agent of a company, up the ladder within the company until the attorney receives an adequate response.
Therefore, when the seller of the shell leads the buyer to believe stock can immediately be sold without securities law compliance, the buyer has paid hard cash, often $50,000 or more, for the privilege of committing a serious crime.
Thompson against the Company and certain former officers and directors of the Company alleging securities laws violations in connection with the purchase of Company stock during the period May 24, 2005 to August 2006.
securities laws regarding public tender offers and business combinations of non-U.
The Securities Laws (Amendment) Bill 2014 proposes various amendments which inter-alia include empowering Securities Exchange Board of India (SEBI) to call for relevant information and records from any person.
The Securities Laws (Amendment) Bill 2013 was introduced in Lok Sabha on the August 12, 2013 during the Monsoon session to replace Securities Laws (Amendment) Ordinance 2013.
Some of the recommendations broaden the reach of some provisions of the federal securities laws to other entities to which they do not currently apply.
The public policy underlying Rule 144A assumes that, because of their size and sophistication, QIBs do not need the protection of the registration requirements of the securities laws.
As banks have been expanding the level of securities services they make available to their customers, attention is being focused again on the express exemptions the Congress has provided for banks from the framework in the securities laws that govern nonbank securities firms.
Unless so registered, the notes, and common stock issued upon conversion of the notes, may not be offered or sold in the United States except pursuant to an exemption from the registration requirements of the Securities Act and applicable state securities laws.
The notes have not been registered under the Securities Act of 1933, as amended (the "Securities Act") or any state securities laws and, unless so registered, may not be offered or sold in the United States except pursuant to an exemption from, or in a transaction not subject to, the registration requirements of the Securities Act and applicable state securities laws.
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