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20 Nov 2015, 8:00 am by Jack Gravelle
Offerings below $20 million in a 12-month period (“Tier 1”) must comply with state blue sky registration and qualification requirements unless the issuer chooses to comply with the Tier 2 requirements. [read post]
18 Jan 2022, 5:01 am by Eugene Volokh
­­­ If the customer wins, that in effect means that Danielle had a legal duty to comply with the robber's demands. [read post]
12 Apr 2016, 3:50 pm by Cynthia Marcotte Stamer
Supplementing existing precedent and EBSA’s already existing broad, functional definition of “fiduciary,” the Rule clarifies when individuals and entities that provide “covered investment advice” to plans, plan sponsors, fiduciaries, plan participants, beneficiaries and Individual Retirement Accounts (IRAs) and IRA owners are: Fiduciaries of the Plan or IRA for purposes of Title I of ERISA; Required to acknowledge their status and the status of their individual advisers… [read post]
12 Apr 2016, 3:50 pm by Cynthia Marcotte Stamer
Supplementing existing precedent and EBSA’s already existing broad, functional definition of “fiduciary,” the Rule clarifies when individuals and entities that provide “covered investment advice” to plans, plan sponsors, fiduciaries, plan participants, beneficiaries and Individual Retirement Accounts (IRAs) and IRA owners are: Fiduciaries of the Plan or IRA for purposes of Title I of ERISA; Required to acknowledge their status and the status of their individual advisers… [read post]
22 Feb 2023, 5:02 pm by Cynthia Marcotte Stamer
 The following disclaimer is included to ensure that we comply with U.S. [read post]
26 Sep 2022, 9:08 am by Cynthia Marcotte Stamer
 The following disclaimer is included to ensure that we comply with U.S. [read post]
28 Apr 2010, 8:43 am by Helen Fu
Reports, Inc., 44 F.3d 61, 67 (2d Cir. 1994); CDN Inc. v. [read post]
15 Feb 2023, 10:26 am by Cynthia Marcotte Stamer
 The following disclaimer is included to ensure that we comply with U.S. [read post]