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16 Sep 2015, 6:39 am
On August 6, 2015, the Securities and Exchange Commission (the "SEC") issued a number of Compliance and Disclosure Interpretations ("CDIs") related to the issue of “general solicitation” (or “general advertising”) as it pertains to issuers seeking to raise capital in private placements in a Rule 506 transaction. [read post]
3 Jun 2011, 6:49 am
The Rapporteur’s report documents these trends, situates them within existing human rights jurisprudence, and makes a number of recommendations to states and the private sector. [read post]
7 Jul 2021, 3:11 pm
A copy of the investor’s July 6, 2021 complaint can be found here. [read post]
8 Mar 2012, 9:55 am
The SRO is currently seeking public comment on this matter through April 6. [read post]
6 May 2024, 4:43 am
IPSO 21530-23 Carragher v Sunday Mail, 1 Accuracy (2021), Breach – sanction: publication of adjudication 21105-23 Trump International Golf Club Scotland Limited v The Scotsman, 1 Accuracy (2021), No breach – after investigation Resolution Statement – 00419-24 Hedges and Baker v Mail Online, 2 Privacy (2021), 4 Intrusion into grief or shock (2021), 3 Harassment (2021), 1 Accuracy (2021), Resolved – IPSO mediation Events The ICO has opened registration for its annual… [read post]
10 Dec 2018, 5:43 am
Rule 506 of Regulation D of the Securities Act of 1933 is one of the most commonly used registration exemptions to raise investments for a private placement.In July 2013, the SEC adopted a new provision for Rule 506, known as the "bad actor disqualification provision. [read post]
4 Sep 2016, 10:15 am
TUESDAY NOVEMBER 29, 20165:00-6:30 p.m. [read post]
4 Sep 2016, 10:15 am
TUESDAY NOVEMBER 29, 20165:00-6:30 p.m. [read post]
12 Jun 2015, 6:25 am
He paid $426,000 to companies that charter private jets, covering 46 trips. [read post]
21 Dec 2015, 12:17 pm
New Private Resale Exemption The FAST Act provides a safe-harbor for a private resale exemption from registration under the Securities Act that is similar to the exemption known as the “Section 4(a)(1-1/2)” exemption. [read post]
17 Jun 2013, 1:03 pm
A contrary reading of (b)(4) could affect interpretation of the (b)(6) exception, which allows an insurer and certain others to obtain DMV information for use in connection with underwriting, and the (b)(10) exception, which permits disclosure and use of personal information in connection with operation of private tollroads.Read more: Justices Strike Down Arizona Voter LawFTC v. [read post]
28 Jun 2019, 3:00 am
But Wehrum has privately expressed concern about how an ongoing House Energy and Commerce Committee probe was affecting his former law firm, Hunton Andrews Kurth. [read post]
22 Oct 2007, 7:08 am
[5] Id. at 478 [6] Id [read post]
28 Apr 2022, 5:04 pm
§ 80b-3 SEC Report the significant cybersecurity incident affecting the adviser or its fund or private fund clients promptly, but in no event more than 48 hours after having a reasonable basis to conclude that any such incident has occurred or is occurring, by filing Form ADV-C electronically on the Investment Adviser Registration Depository. [read post]
17 Jul 2018, 11:41 am
Assembly Labor & Employment 2/5/18; Failed Deadline Private Attorneys General Act (PAGA) Reform. [read post]
17 Jul 2018, 11:41 am
Assembly Labor & Employment 2/5/18; Failed Deadline Private Attorneys General Act (PAGA) Reform. [read post]
14 Jun 2022, 9:01 pm
Foreign private issuers will need to put in place procedures to have the required Forms 6-K EDGARized and determine whether to do this in-house or use an outside vendor. [read post]
25 Feb 2020, 7:08 am
The SEC complaint alleges an impressive list of federal statutory violations, including Sections 206(1), 206(2), 206(4), and 207 0f the Advisers Act, 15 U.S.C. sections 80b-6(1), 80b-6(2), 80(b)-6(4), and 80b-7, and Rule 206(4)-7 thereunder. [read post]
26 Oct 2020, 2:54 am
Contact us[contact-form-7] On October 6, 2020, Shah agreed to and signed the Acceptance Waiver and Consent order issued by FINRA which suspended him in all capacities for six months. [read post]
26 Oct 2020, 2:54 am
Contact us[contact-form-7] On October 6, 2020, Shah agreed to and signed the Acceptance Waiver and Consent order issued by FINRA which suspended him in all capacities for six months. [read post]
