Examples of California Securities Act in a sentence
This Agreement shall be governed by the laws of the State of California, the Securities & Exchange Commission’s Investment Adviser’s Act of 1940 and the anti-fraud provisions of the California Securities Act.
In the case of California securities laws, Section 25102(f) of the California Securities Act of 1968, as amended, or, if the Recipient is then a resident of and/or domiciled within another state, the requirements of any applicable exemptions from registration or qualification afforded by the securities laws of such state.
Such Member acknowledges that the Fractional Interests have not been registered under the Securities Act, or qualified under the Securities Act, the California Securities Act, or any other applicable blue sky law in reliance, in part, on his, her or its representations, warranties and agreements herein.
Without limiting the representations set forth above, and without limiting any restrictions on Transfer of the Fractional Interests contained herein, such Member shall not make any disposition of all or any part of the Fractional Interests that will result in the violation of the Securities Act, the California Securities Act or any other applicable securities law.
Reply Br. 5 n.2. I conclude that regardless of which party bears the burden on this motion, the choice-of-law provision did not effect an enforceable waiver of Plaintiff’s ability to assert a California Securities Act claim.
The court did not hold that the plaintiff could not assert his California Securities Act claim in New York, but rather concluded the plaintiff failed to show that a New York court would be unable to protect the interests of California citizens.
State Proceedings and Arbitration After dismissing the Asbra Defendants from the federal Texas case, but before Plaintiffs entered into the 2013 Settlement Agreement with the Windsor Defendants, Plaintiffs filed suit alleging fraud, breach of fiduciary duty, and violations of the California Securities Act against the Asbra Defendants in the Superior Court of California, Riverside County, on November 29, 2012 (Riverside case).7 (doc.
If the report was to be finalised and implemented in 2024, there would be no place in the market for Plasback.
The Company’s right to repurchase Award Shares granted to any Participant, who is not an Officer, Company Director or Consultant pursuant to Section 25102(o) of the California Securities Act, at Fair Market Value will terminate if and when Shares become Listed Securities.
All gifts and entertainment given or received over a 12 month period which exceed the £100 notification threshold must be cleared by the Head of Compliance, in advance wherever possible.