Posts tagged with: "206"
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14 Sep 2023, 6:18 pm
Call Blair & Kim, PLLC, at (206) 622-6562 to discuss your case. [read post]
14 Sep 2023, 12:21 pm
Under 206(4)-1(d)6, an investment adviser can’t use hypothetical performance in an advertisement unless the firm: (i) Adopts and implements policies and procedures reasonably designed to ensure that the hypothetical performance is relevant to the likely financial situation and investment objectives of the intended audience of the advertisement; (ii) Provides sufficient information to enable the intended audience to understand the criteria used and assumptions made in… [read post]
12 Sep 2023, 9:01 pm
Good morning, Chairman Brown, Ranking Member Scott, and members of the Committee. [read post]
11 Sep 2023, 9:01 pm
Likely in response to the extensive body of comment letters, many from prominent industry groups, challenging the SEC’s authority for the Proposed Rules, the SEC explained, at length, why the Final Rulesare “a proper exercise of [the SEC’s] rulemaking authority under [Sections 206(4) and 211(h) of] the Advisers Act to prevent fraudulent, deceptive, and manipulative conduct, facilitate the provision of simple and clear disclosures to investors, and prohibit or restrict… [read post]
11 Sep 2023, 12:20 am
Council of the ABA Section of Legal Education and Admissions to the Bar, Notice of Law School Demonstrating Compliance With Standard 206 (Aug. 2023): At its August 17-18, 2023, meeting, the Council of the Section of Legal Education and Admissions to the Bar of the American Bar Association (the “Council”)... [read post]
10 Sep 2023, 6:30 am
Among other things, the Rules require that all SEC-registered1 private fund [2] advisers: prepare and distribute quarterly statements to investors containing detailed information on fees, expenses, compensation, and performance; obtain and distribute to investors an annual audit for each private fund such advisers manage (using the same standards applied to annual private fund audits under Rule 206(4)-2 under the Advisers Act (the Custody Rule)); and obtain and distribute to investors… [read post]
10 Sep 2023, 6:30 am
Among other things, the Rules require that all SEC-registered1 private fund [2] advisers: prepare and distribute quarterly statements to investors containing detailed information on fees, expenses, compensation, and performance; obtain and distribute to investors an annual audit for each private fund such advisers manage (using the same standards applied to annual private fund audits under Rule 206(4)-2 under the Advisers Act (the Custody Rule)); and obtain and distribute to investors… [read post]
7 Sep 2023, 11:09 am
It then provides the answer, a breakdown of seat counts by type (such as “Administrator Seat: 21,” “Standard Seat: 206”). [read post]
5 Sep 2023, 7:00 am
Securities and Exchange Commission (“SEC”) issued an order imposing civil monetary penalties against Titan Global Capital Management USA LLC (“Titan”) for violations of the new investment adviser Marketing Rule, Rule 206(4)-1. [read post]
4 Sep 2023, 11:25 pm
On 18 August, de Mestre Ch. handed down the detailed judgment Re St. [read post]
2 Sep 2023, 5:16 pm
In 2008, a CBP officer identified 206 persons who used different names or other biographical information to gain US citizenship or other immigration benefits. [read post]
31 Aug 2023, 3:36 pm
Contact Blair & Kim, PLLC, at (206) 622-6562 for a consultation. [read post]
31 Aug 2023, 4:00 am
Following up on my previous post, ABA Finds Baylor Out Of Compliance With Law School Accreditation Standard On Adjunct Faculty Diversity: Council of the ABA Section of Legal Education and Admissions to the Bar, Notice of Compliance and Removal of Requirements of Specific Remedial Actions Standard 206(b), Part-Time Faculty: At... [read post]
29 Aug 2023, 12:15 am
Replacing the existing floor with limestone flags, relocating ledgers and installing underfloor heating [146] to [163] Duffield assessment [149] to [163] Introducing a modular stage [164] to [168] Duffield assessment [164] to [168] Upgrading the AV system [169] to [174] Duffield assessment [171] to [174] Replacing internal lighting [175] to [177] Duffield assessment [175] to [177] Installing a hydraulic full immersion and wheelchair accessible baptism pool [178] to [188] Duffield assessment… [read post]
28 Aug 2023, 2:29 pm
Set up a consultation with Blair & Kim, PLLC, at (206) 622-6562. [read post]
28 Aug 2023, 11:49 am
Media contacts: Matt Adams, Northwest Immigrant Rights Project (206) 957-8611; matt@nwirp.org Trina Realmuto, National Immigration Litigation Alliance (617) 819-4447; trina@immigrationlitigation.org Ira Kurzban, Kurzban, Kurzban, Tetzeli & Pratt, P.A. (305) 444-0060; ira@kktplaw.com " [read post]
25 Aug 2023, 7:20 am
Without admitting or denying the SEC charges, in addition to the $35 million penalty, Wells Fargo consented to the entry of the Commission’s order finding that the firm violated Sections 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-7 and agreed to a cease-and-desist order and censure. [read post]
25 Aug 2023, 6:43 am
By John Filar AtwoodThe SEC has reopened the comment period on its controversial plan to amend Investment Company Act Rule 206(4)-2 (the custody rule) to extend an investment adviser’s safeguarding requirements to crypto and other digital assets. [read post]
24 Aug 2023, 6:32 am
, Advisers Act sections 206 and 204. [read post]
24 Aug 2023, 6:32 am
, Advisers Act sections 206 and 204. [read post]
