Posts tagged with: "206"
Results 201 - 220
of 4,900
Sorted by Relevance
|
Sort by Date
4 Oct 2016, 7:37 am
” The SEC Enforcement Division alleges that Balter violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, Section 17(a) of the Securities Act of 1933, Sections 206(1), 206(2), 206(4) and 207 of the Investment Advisers Act of 1940 and Rule 206(4)-8, and Sections 13(a) and 34(b) of the Investment Company Act of 1940. [read post]
29 Jan 2016, 11:54 am
The settled administrative order found that the adviser and its Canadian manager violated Securities Act Sec. 17(a), Exchange Act Sec. 10(b), Investment Advisers Act Secs. 206(1), 206(2), and 206(4), as well as Investment Advisers Act Rule 206(4)-8. [read post]
16 Apr 2015, 5:00 am
So his donation is limited to $150 under Rule 206(4)-5. [read post]
10 Feb 2016, 6:22 am
They are both subject to SEC Rule 206(4)-5 because they appoint members to the state pension fund board in their states. [read post]
24 Oct 2017, 8:18 am
However, the ‘206 patent also includes some amount of new matter. [read post]
14 Mar 2011, 6:00 am
If you have (or want to have) government investors in your private fund then you need to be in compliance with Rule 206(4)-5 starting today. [read post]
14 Mar 2011, 6:00 am
If you have (or want to have) government investors in your private fund then you need to be in compliance with Rule 206(4)-5 starting today. [read post]
13 May 2007, 9:05 am
Investment Advisers Act of 1940 Section 206(4)(1) states (in part): It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4) of the Act for any investment adviser registered or required to be registered under section 203 of the Act, directly or indirectly, to publish, circulate, or distribute any advertisement: Which refers, directly or indirectly, to any testimonial of any kind concerning the… [read post]
5 Aug 2013, 5:00 am
It has sometimes been tricky for private funds to comply with Rule 206(4)-2. [read post]
3 May 2010, 12:59 pm
The amendments are designed to strengthen the prior custodial controls imposed by Rule 206(4)-2. [read post]
12 Jan 2017, 7:53 pm
Sec. 5-206 and can’t afford a lawyer does indeed have a right to counsel. [read post]
11 Jul 2019, 6:26 am
Second, it reinforces the ease with which the SEC can establish negligence under Section 206(2) for conduct that plainly falls short of compliance with an adviser’s fiduciary duty to clients. [read post]
23 Apr 2014, 3:28 am
"The SEC's order instituting administrative proceedings alleges that Kawamura willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 20(4)-8. [read post]
27 Sep 2017, 9:23 am
(See Advisers Act Rule 206(4)-1(a)(2)). [read post]
31 May 2016, 7:58 am
Pursuant to SEC Rule 206(4)-2, investment advisers with custody of client funds must take certain steps to safeguard such client assets. [read post]
13 Aug 2007, 2:02 pm
CIVA 206-CV-205) Judge: Keith GiblinHolding: Defendants' Motion to Compel GRANTED in partDefendants sought production of documents redacted by the Plaintiff on grounds of relevance or privilege. [read post]
18 May 2007, 9:42 am
May 11, 2007) (NO. 206 CV 272)Judge: Leonard DavisHolding: Motion to Intervene GRANTEDDLMP is an indirect wholly-owned subsidiary of Dell Inc. [read post]
27 Nov 2007, 4:51 am
According to the draft art. 206-(4) of the Code has been proposed to be excluded from the Code. [read post]
7 May 2007, 10:59 am
Reference: ERISA § 206(d)(3)(B)(i); IRC § 414(p)(1)(A) What is a Domestic Relations Order? [read post]
8 Feb 2011, 2:22 pm
Simms, 36 FLW 206, 2nd DCA, Neither the anonymous tip, received at 10:30 p.m. on Halloween night, reporting that a thin, dark-haired, six foot tall man wearing a flannel shirt and pants was trying to open car doors on the block in a certain residential neighborhood, nor the officer's observation of the defendant was sufficient to provide the officer with a basis for officers to stop the defendant on suspicion of attempted burglary of automobiles. [read post]
