Search for: "Blue Sky Trust"
Results 61 - 80
of 134
Sort by Relevance
|
Sort by Date
20 Nov 2015, 8:00 am
Offerings below $20 million in a 12-month period (“Tier 1”) must comply with state blue sky registration and qualification requirements unless the issuer chooses to comply with the Tier 2 requirements. [read post]
16 Oct 2015, 8:11 am
Customers have filed complaints against Schooler alleging securities law violations including that the broker made unsuitable investments, negligence, misrepresentations, breach of fiduciary duty, violation of blue sky statutes in several states, and fraud among other claims. [read post]
Former National Securities Corporation Broker Brian Folland Subject to Numerous Customers Complaints
8 Oct 2015, 6:36 am
Customers have filed complaints against Folland alleging securities law violations including that the broker made unsuitable investments, negligence, misrepresentations, breach of fiduciary duty, violation of blue sky statutes in several states, and fraud among other claims. [read post]
14 Sep 2015, 3:17 pm
In fact, the stuff that’s coming out of the sky is distressingly close to snow already. [read post]
5 Jun 2015, 8:47 am
Offering and sale under Rule 701 must still comply with any applicable state “blue sky” laws. 6. [read post]
4 Jun 2015, 1:47 pm
[Ed. [read post]
26 May 2015, 2:50 pm
Guidance Update Regarding Key Employee Trusts and Family Office Rule. [read post]
26 May 2015, 2:50 pm
Guidance Update Regarding Key Employee Trusts and Family Office Rule. [read post]
4 May 2015, 8:31 am
Stargazing Governance expert Lucy Marcus eloquently describes one of the most important roles of a board member (whether of a nonprofit or for-profit) – planning for the future and developing strategies using blue-sky thinking or stargazing: This is where a board demonstrates its mettle in making sure their organization is ready and able to expand its horizons, strive to achieve more and stretch itself to become the robust and resilient business that is capable of… [read post]
1 May 2015, 6:05 am
The drive was glorious, pure late summer joy with every possible shade of green in view, a touch of red here and there, handsome dun fields of trim stubble, great smooth looming grey rocks older than everything, and sky, sky, sky of the most precious blue. [read post]
18 Jul 2014, 11:55 am
We await the reargued decision with bated breath – actually that’s not true; we’d be bluer than a Blue Dog Democrat if that were so. [read post]
13 Jun 2014, 5:55 am
Baer in CLS Blue Sky BLog From this typology, one can see why corporate fraud so often mixes planned and impulsive conduct and why the corporate compliance department is likely to have its hands full: With the exception of the employees in category (a), everyone within the corporation has the potential to contribute to or perpetrate a fraud. [read post]
18 Apr 2014, 9:21 am
Techniques of AI and HCI [Human-Computer Interaction] create the opportunity for institutions to leverage the human tendency to anthropomorphise and other advantages computers hold over humans (ubiquity, diligence, trust, memory, etc.) to facilitate an otherwise impracticable depth and breadth of data collection. [read post]
19 Mar 2014, 8:00 am
Conflict Management Starts at the BottomIf I had my druthers, every single person who manages a team would be required to complete robust mediation training. [read post]
14 Feb 2014, 5:48 am
Kocher in CLS Blue Sky BLog Consistent with this view, we have prepared the attached sample Status Certification Letter that is designed to allow an individual investor to approach one of his or her existing trusted advisors that is a Permitted Third Party Verifier (lawyer, CPA, etc.) to provide a certification of the underlying information on which the issuer may base its determination of the status of the investor. [read post]
13 Dec 2013, 5:16 am
How Financial Institutions May Benefit from Changes to the Rule Against Perpetuities by Reid K.Weisbord in the CLS Blue Sky Blog Now that most jurisdictions have repealed or abrogated the Rule Against Perpetuities, estate planning practitioners have started to consider whether a trust created to comply with the Rule could, after the Rule’s repeal, be extended in perpetuity to provide for future generations of the settlor’s descendants. [read post]
13 Dec 2013, 5:16 am
How Financial Institutions May Benefit from Changes to the Rule Against Perpetuities by Reid K.Weisbord in the CLS Blue Sky Blog Now that most jurisdictions have repealed or abrogated the Rule Against Perpetuities, estate planning practitioners have started to consider whether a trust created to comply with the Rule could, after the Rule’s repeal, be extended in perpetuity to provide for future generations of the settlor’s descendants. [read post]
4 Dec 2013, 9:07 am
As of the beginning of 2013, individuals, estates and trusts are subject to a Medicare tax of 3.8% on “net investment income” (or undistributed “net investment income”, in the case of estates and trusts) for each taxable year. [read post]
31 May 2013, 7:57 am
” Examining Investment Advisers: The Challenge Continues by Elisse Walter in The CLS Blue Sky Blog An excerpt of a speech that Commissioner Walter gave on April 16, 2013 at the 2013 NASAA Public Policy Conference in Washington, D.C. [read post]
