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1 Dec 2020, 11:26 am
These investments were allegedly not suitable in relation to the couple’s investment objective, financial needs and risk tolerance and as a result, the investments comprised over 20% of the couple’s net worth. [read post]
1 Dec 2020, 1:55 am
Some are aimed at boosting investment in certain locations; for example, the New Markets Tax Credit[11] and Empowerment Zone tax incentives. [read post]
30 Nov 2020, 2:22 pm
S7-13-20: Notice of Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders. [read post]
30 Nov 2020, 2:22 pm
S7-13-20: Notice of Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders. [read post]
30 Nov 2020, 12:22 pm
Matthes, if convicted, could face up to 20 years in prison, plus a $250,000 fine, for each count of wire fraud. [read post]
30 Nov 2020, 11:27 am
The agreement also espouses the goal of creating a liberal, facilitative, and competitive-investment environment in the region, that will enhance investment opportunities and promote, protect, and facilitate investment among the parties. [read post]
30 Nov 2020, 11:01 am
As such, we invest significant time and attention towards each of our clients, gaining deep insight into their issues at an early stage. [read post]
30 Nov 2020, 8:01 am
He has spent over 20 years in leading organizations in software development and consulting in the United States. [read post]
30 Nov 2020, 3:27 am
Respondents are not entitled to share in the potential future returns from an investment that they did not make. [read post]
29 Nov 2020, 12:53 pm
• PUBLISHED 08/03/20 in IRB 2020-32 as NOT. 2020-56 (RELEASED 07/14/20).Final regulations on §509(a)(3) supporting organizations. [read post]
27 Nov 2020, 5:58 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, November 27, 2020 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of November 20–26, 2020. [read post]
27 Nov 2020, 4:00 am
We should invest in marketing professionals that can help us to take our marketing to the next level in terms of relevancy and effectiveness. [read post]
26 Nov 2020, 5:43 am
Patents last 20 years. [read post]
25 Nov 2020, 9:57 am
The new outlook comes as China reforms its domestic rules for foreign investment. [read post]
25 Nov 2020, 5:47 am
Moving on to Level Two sentencing, this is statutorily laid out at 20-179 (h). [read post]
25 Nov 2020, 1:17 am
Another unfounded a priori is that ex officio licensing would hamper innovation by depriving of rewards for investments. [read post]
24 Nov 2020, 1:15 pm
In every case, our goal is to resolve disputes as quickly and successfully as possible, helping business clients protect their investments and get back to business as usual. [read post]
24 Nov 2020, 11:48 am
S7-13-20: Notice of Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders. [read post]
24 Nov 2020, 11:30 am
State registered investment advisers, however, should also keep these key focus areas in mind to ensure that they have compliance programs that will stand up to regulatory scrutiny. [1]Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers (Aug. 12, 2020), https://www.sec.gov/files/Risk%20Alert%20-%20COVID-19%20Compliance.pdf. [read post]
24 Nov 2020, 10:55 am
” As part of that investigation, FINRA sent a request for information to Marino on May 20, 2019, due by June 21, 2019. [read post]
