Search for: "Registration Private (4)"
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4 Apr 2016, 7:43 am
Funding portals, while subject to the SEC's authority, are exempt from registration as a broker-dealer.The problem. [read post]
2 Feb 2011, 4:51 am
If you were cited for failure to possess proper insurance or registration, get it. [read post]
8 Feb 2011, 5:13 am
If you were cited for failure to possess proper insurance or registration, get it. [read post]
7 Feb 2011, 10:00 am
* What's changed that may require you to update my Form U-4? [read post]
3 Feb 2011, 5:02 am
If you were cited for failure to possess proper insurance or registration, get it. [read post]
9 Apr 2014, 11:54 am
The petitioner’s private causes of action under the Act included allegations of respondent’s (1) offer and sale of an unregistered security, (2) transacting business as an unregistered broker-dealer or agent, (3) misrepresentations or omissions of material fact in the offer and sale of a security, and (4) violations of the investment advisor requirements of the Act (i.e., both lack of registration as an investment advisor and misrepresentations made in that… [read post]
22 Sep 2015, 6:04 am
Almost all U.S. states and territories have enacted breach notification laws requiring private and/or government entities to notify individuals when their personal information is compromised. [read post]
16 Oct 2023, 9:14 am
· Social media posts of private individuals, five of which dated from 9 October 2021, e.g. [read post]
8 May 2016, 9:01 pm
Current Status: 5/6/2015 - BILL AMENDED, House Public Utilities, (Fourth Hearing) ORC Sections: 1710.01, 1710.02, 1710.021, 1710.03, 1710.04, 1710.05, 1710.06, 1710.061, 1710.07, 1710.11, 1710.12, 1710.13, 1710.20, 1710.21, 1710.22, 1710.23, 1710.24, 1710.25, 1710.26, 1710.27, 1710.28, 1710.29, 1710.30, 1710.31, 1710.32, 1710.33, 1710.34, 1710.35, 1710.36, 1710.37, 1710.40, 4582.06, 4582.31 HB77 CONTRACTOR REGISTRATION (PATMON B) To require statewide… [read post]
30 Apr 2023, 9:49 am
Security of private property?). [read post]
18 Oct 2013, 6:17 am
FINRA alleged that through at least October 4, 2011, McGlothlin continued to participate in private securities transactions with IBLS Online by re-issuing and replacing stock certificates for investors and responding to investor questions and concerns about their investments. [read post]
22 Jan 2013, 8:55 am
So why give a registration examination? [read post]
30 Mar 2011, 11:48 am
Private Placement of Securities (the Offering) Exemption from registration for the Offering is provided under Section 4(2) of the 1933 Act and Rule 506 of Regulation D. + Number of Investors and Value of Offering No dollar limit on size of offering Sales permitted to an unlimited number of "accredited investors". [read post]
3 Apr 2015, 8:59 am
US - 4/2/15. [read post]
25 Apr 2008, 5:00 am
""In particular, the examining attorney offered four types of evidence to show the close relationship between registrant's restaurant services on the one hand, and applicant's wine on the other: (1) Third-party registrations for both identifications under the same mark; (2) Internet articles about restaurants offering 'private label' wines; (3) Advertisements for customized 'private label' wines; and (4) Direct… [read post]
9 May 2016, 10:44 am
Call for Papers Trusts & Estates Section 2017 AALS Annual Meeting January 4-7, 2017 – San Francisco, CA Sex, Death, and Taxes: The Unruly Nature of the Laws of Trusts and Estates Trusts & Estates is a far-reaching and broad-based discipline of law that impacts private citizens’ decisions about sex, death, and taxes. [read post]
24 Apr 2024, 10:42 am
As a co-registrant, a target company will now have disclosure responsibilities in the SPAC’s registration statement. [read post]
16 Sep 2013, 6:00 am
-That the applicant receives a monthly pension of no less than US$1000 or its equivalent in foreign currency, plus US$250 for each dependant -In the case of persons retired or receiving a pension from private entities, a document from the corresponding authority certifying the existence of said entity must be submitted" and a Panama bank statement showing the deposits made into the account.4) Sworn statement about Personal Background signed by the applicant .A) All… [read post]
13 Oct 2010, 3:18 pm
The corporation is a private, non-reporting company (e.g. it has less than 50 shareholders, does not distribute its shares to the public, etc.) [read post]
14 Oct 2015, 10:40 am
4:30pm-5:45pm - Panel 2: Concentrated Private Power: Efficiency Justifications and Broken MarketsRobert Hockett, Amy Kapczynski, Barry C. [read post]
