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23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
31 Jul 2013, 5:10 pm
In addition, the Labor Department also can impose penalties of up to 20 percent of the amount of the fiduciary breach, seek to enjoin the breaching fiduciaries from serving in a fiduciary capacity, and refer them to the Department of Justice for criminal prosecution. [read post]
18 Jul 2011, 1:08 pm
Securities Act Section 36b-6(c) during the deferment.* Investment advisers who as of July 20, 2011: (1) rely on the July 21st-repealed private adviser (de minimis) exemption at 1940-Act Section 203(b)(3); (2) are ineligible to register as SEC investment advisers because their assets under managment do not meet the July 21st-effective SEC threshold amount; and (3) are ineligible for another Section 203 exemption, including the Section 203A(c) exemption from the prohibition… [read post]
22 May 2021, 9:39 am
Invested with former broker Isaiah Goodman? [read post]
22 May 2021, 9:39 am
Invested with former broker Isaiah Goodman? [read post]
9 May 2023, 11:55 am
Investment Fraud Lawyer Jake Zamansky Breakdown Common Investment Scams 00:10 Hello everyone. [read post]
9 Nov 2023, 6:54 am
Expect to invest between $162,983 to $464,050 to launch your first location. [read post]
20 Oct 2022, 5:29 am
Investment Policy: This policy covers the investment of royalty and assessment funds, respectively, and sets forth The MLC’s goals and objectives in establishing policies to implement The MLC’s investment strategy. [read post]
23 Oct 2017, 9:48 am
Madoff investment securities LLC in 1960 and was the former chairman of NASDAQ. [read post]
2 Oct 2008, 10:56 pm
Related Web Resources: AIG Sale Decided in Weeks, says Chief, CourierPress.com, September 20, 2008 Another Bailout: Government Lends AIG $85 Billion, NPR.org, September 17, 2008 AIG Advisor Group [read post]
19 Jun 2015, 8:14 am
If convicted, Farrace faces a maximum statutory penalty of 20 years in prison and a $250,000 fine. [read post]
13 May 2021, 3:55 am
Many countries’ personal income tax systems tax various sources of individual income—including investment income such as dividends and capital gains. [read post]
16 Sep 2011, 7:46 am
The State of Oregon is lending the company another $20 million, and the financial wizards at the City of Portland are guaranteeing $5 million. [read post]
17 Apr 2013, 4:45 am
Imagine a situation where someone has invested his or her entire life into building a sports franchise. [read post]
5 Apr 2010, 12:15 pm
For parents, a driver-safety course can be a good investment when it comes to helping your teenager avoid a serious or fatal South Florida car accident. [read post]
20 Jun 2011, 10:01 am
Watch as Los Angeles attorney Erin Tenner talks about how she learned to invest her marketing monies more effectively: The Rainmaker Retreat includes: Over 65 proven ways to grow your law firm 10 ways to dominate your competitors online An 8-step method for tripling your referrals in 90 days Register now for one of our upcoming sessions: July 22-23, 2011 in Orlando, FL August 19-20, 2011 in Las Vegas, NV October 7-8, 2011 in San Francisco,… [read post]
16 Mar 2008, 8:20 am
In January, Bear was worth about $20 billion. [read post]
26 Sep 2011, 9:36 pm
During the present Five-Year Plan (Twelfth Five-Year Plan: 2011-2015), the Chinese Government has vowed to invest RMB 2 trillion (around USD 300 billion) into the “green economy. [read post]
25 Mar 2008, 4:39 pm
Park, and its former chief accounting officer Claude Fernandez paid $10 million in undisclosed compensation to a brokerage firm that sold real estate investment trusts (REITs). [read post]
31 May 2023, 6:30 am
Foreign private issuers are required to file a new Form F-SR on a quarterly basis to comply with the amendments beginning with their first full fiscal quarter that commences on or after April 1, 2024, and must provide additional disclosures in their first Form 20-F following their first Form F-SR filing. [read post]
