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22 Feb 2016, 4:36 pm
It also provides for direct regulation of the stock exchanges and the participants in the secondary market, such as industry associations, brokers, and stock issuers.4 Perhaps the most enduring aspects of the 1934 Act, aside from the formation of the SEC, are the enhanced protections afforded to investors under sections 10(b) and 10(b)(5), which provide recourse for private investors who believe they have been defrauded. [read post]
8 Jan 2018, 2:29 pm
Information about comparable sales can also be found through brokers or in the Assessor’s office. [read post]
28 Aug 2014, 9:21 pm
Lawyers looking for real estate closings want to get tied into real estate agents, mortgage brokers and banking personnel. [read post]
27 Jan 2017, 4:24 am
And, during 2017 in New York, entities regulated by the state’s Department of Financial Services, such as banks, check cashers, credit unions, insurers, mortgage brokers and loan servicers, and some of their subcontractors, likely will become subject to a complex set of cybersecurity regulations many view as the first of their kind in the country. 3. [read post]
27 Jan 2017, 4:24 am
And, during 2017 in New York, entities regulated by the state’s Department of Financial Services, such as banks, check cashers, credit unions, insurers, mortgage brokers and loan servicers, and some of their subcontractors, likely will become subject to a complex set of cybersecurity regulations many view as the first of their kind in the country. 3. [read post]
5 Jun 2012, 1:20 pm
Robinson, a mortgage broker) received information from Mr. [read post]
27 Jul 2008, 8:12 pm
Make a complete inventory or list of all of the Principal's assets and income sources. [read post]
25 Aug 2010, 2:44 am
Underwriters and brokers will find the report’s analysis of the causes of bank failures and the likely causes of future failures informative. [read post]
16 Sep 2010, 3:30 am
She found that speaking at conferences for mortgage brokers generated enough referral to fill her practice. [read post]
30 Jun 2008, 11:36 pm
The two most prominent SIC Code categories were SIC Code 6021 (National Commercial Banks), which had 17 lawsuits, and SIC Code 6211 (Security Broker Dealers), which had 14 lawsuits. [read post]
22 Apr 2007, 4:39 am
Other brokers were also investigated. [read post]
27 Jul 2010, 5:12 am
He’s a lawyer, but he used to be a real estate and mortgage broker. [read post]
17 Dec 2018, 3:14 pm
Section 17(b) mandates that if a person is paid to promote a security, then they must disclose the nature, source and amount of that compensation. [read post]
9 Jun 2023, 5:01 am
The SEC has also used disgorgement in cases where brokers made choices that advanced their organization’s interests over that of their duty to clients, such as by moving higher-performing traders to an internal fund or not disclosing the likelihood of mortgages in a security failing. [read post]
14 Mar 2016, 2:56 am
Is Coverage Available for Brokers and/or Outside Investment Advisors Acting in a Dual Capacity? [read post]
11 Jan 2022, 2:41 am
Data brokers purchased that from people, they aggregate it, they attach it to your ID, and then they can sell that out. [read post]
28 Jan 2019, 8:57 pm
In contrast, California taxes nonresidents only on their income derived from California sources. [read post]
28 Apr 2014, 12:00 pm
U.S. companies have also alleged that Panamanian government officials may ask outright for payments to guarantee an award, or more indirectly may insist that they partner with a favored local firm.From January to October 2012, 129,559 contracts, valued at over $3.0 billion, were awarded by the government of Panama; sole source tendering accounted for $129 million of these contracts through approximately 1,984 sole-source contracts. [read post]
22 Jan 2022, 11:31 pm
See the article: Working While Vacationing: The Perils of California Source Rules for Nonresidents. [read post]
Suggested Procedures and Possible Options for Accepting Minors as Investors in EB-5 Investment Funds
23 Jun 2016, 10:44 am
The General Principles of the Civil Law of the Peoples Republic of China provide that: (i) a citizen aged 18 or over has the full capacity for civil conduct; (ii) a citizen aged 16 until the age of 18 whose main source of income is his own labour also has the full capacity for civil conduct; (iii) a minor aged 10 or over has limited capacity for civil conduct and may engage in some civil activities appropriate to his age and intellect, and in other civil activities must be represented by… [read post]
