Search for: "SECTION 13 OFFICER"
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1 Sep 2015, 10:06 am
The SEC ordered Edward Jones to cease and desist from future violations of Sections 17(a)(2) and (3) of the Securities Act, Section 15B(c)(1) of the Exchange Act, and a number of rules promulgated by the Municipal Securities Rulemaking Board (“MSRB”), which regulates dealers of municipal securities. [read post]
14 Apr 2010, 9:17 am
At the American Bar Association seminar, Live at the ITC: Second Annual Forum on Section 337 of the Tariff Act of 1930, Alex Koff will moderate a Roundtable Discussion on "Foreign Discovery in Section 337 Investigations. [read post]
11 Apr 2011, 1:56 pm
On the seventh day of the cruise, the cruise officers were true to their threat. [read post]
27 Jan 2020, 2:00 pm
If you have questions regarding the application of this rule or how it may affect you please contact our office. [read post]
16 Oct 2011, 11:31 am
It was in the basement of a building in a semi-industrial section of town. [read post]
14 Sep 2011, 3:38 am
- Program formally named the "Mission Advancement Program" aka "MAP" (pg. 10) - Corp Fin seems to have escaped any further reshaping since it recently did some realignment (pg. 13) - SEC will seek flexibility from Congress when creating four new Offices as required by Dodd-Frank (and since stalled due to budget limits)(pg. 17) - SEC is following up on its momentum towards technological sophistication by devoting more attention to developing a… [read post]
7 Mar 2008, 3:38 am
Drivers whose hours are regulated by the U.S Department of Transportation Code of Federal Regulation, Title 49, Sections 395.1 to 395.13, Hours of Service of Drivers Drivers whose hours are regulated by Title 13 of the California Code of Regulations, subchapter 6.5, section 1200 et seq. [read post]
8 Apr 2009, 5:01 am
Securities Fraud Class Action Survives Motion to Dismiss because Class Action Complaint Adequately Alleged that Defendants Failed to Timely Discover and/or Disclose Material Adverse Information New York Federal Court Holds Plaintiffs filed a class action against Arotech Corporation, a defense contractor, and three of its officers alleging violations of federal securities laws; the class action complaint violations Section 10(b) of the Securities Exchange Act of 1934 and Rule… [read post]
25 Jan 2014, 8:58 am
Section 2 of P.L. 1991, c. 95 (c. 46:2B-11). 8. [read post]
21 Nov 2022, 2:18 am
The Press Gazette asked the Qatari government press office to comment on the discrepancy after seeing the journalists’ FIFA accreditations, but are yet to receive a reply. [read post]
24 Aug 2022, 1:01 pm
On January 13, 2021, the controlling shareholder of a number of radio licensees passed away. [read post]
18 Dec 2020, 11:01 am
But the costs of using pardons as carrots are also at a low point in the weeks before he departs office. [read post]
25 Sep 2018, 7:20 am
USCIS notes that this is for service centers only and doesn’t include field offices. [read post]
9 Jan 2015, 9:45 am
Associated with [redacted]@mac.com that is Stored at Premises Controlled by Apple, Inc., 13 F.Supp.3d 157, 166–67 (D.D.C.2014) ( “D.D.C. [read post]
1 Nov 2015, 5:44 pm
Under Section 302, an investor may bring an action “in any court of competent jurisdiction” seeking to impose liability under Sections 12 and 13 of the Securities Act of 1933. [read post]
27 Oct 2008, 3:49 pm
encing facts were properly submitted to the jury; 11) the indictment was sufficient, as was the evidence supporting various counts; 12) a Brady claim was meritless; and 13) there was no plain error as to jury instructions regarding "Conspiracy" and "aiding and abetting". [read post]
13 Jun 2022, 1:37 pm
Police Officers Ass'n (5th Cir. 1995) (Title VII); see also Dambrot v. [read post]
29 Nov 2018, 2:00 am
However, the preamble points out that Code Section 403(b)(11) was not amended by the Budget Act to allow for hardship distribution of income attributable to section 403(b) elective deferrals. [read post]
5 Jun 2023, 9:01 pm
For domestic issuers and listed closed-end funds, this requirement applies to any directors and Section 16 officers. [read post]
8 Sep 2014, 9:24 pm
The weaknesses relate primarily to the ability to tailor regulation, not to lack of social consensus on the seriousness of harms from such behavior.[12] Arguments for regulating online providers in such cases (and there are some), should recognize important differences in principle and practice between laws requiring online service providers to report apparent online child abuse they discover, and a hypothetical law requiring reporting (or takedown) of apparent harassment if discovered… [read post]
