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12 May 2011, 7:33 am
The SEC also charged two sales agents with illegally offering to sell company securities without being registered with the SEC as broker-dealers. [read post]
2 Feb 2019, 7:11 am
The Custody Rule The Custody Rule imposes certain requirements on registered investment advisers with custody of client funds or securities. [read post]
2 Feb 2019, 7:11 am
The Custody Rule The Custody Rule imposes certain requirements on registered investment advisers with custody of client funds or securities. [read post]
7 Aug 2016, 10:58 am
Brothers David and Larry Vocatura learned this lesson when armed IRS agents came into their Connecticut shop demanding to know if they were dealing in drugs or prostitution. [read post]
15 Dec 2009, 4:14 pm
A person who ‘connects writers to..actors” is usually either a producer (look for credits) or an Agent (Agents must be licensed). [read post]
28 Jan 2015, 9:35 am
Any evidence with its location must be registered, bagged and logged. [read post]
22 Mar 2012, 12:12 pm
Our intellectual property practice has over 70 attorneys, including more than 40 registered patent attorneys and agents with deep technical backgrounds in a wide variety of industries. [read post]
22 May 2024, 1:02 pm
Securities and Exchange Commission (“SEC”) adopted amendments to Regulation S-P, which implements the Gramm-Leach Bliley Act (“GLBA”) for SEC-regulated entities such as broker-dealers, investment companies, registered investment advisers, and transfer agents. [read post]
6 Feb 2015, 7:58 am
Branch Offices: The OCIE will focus on the analytical measures used by registered entities to determine whether branch offices or registered representatives are deviating from a firm’s home office compliance practices. [read post]
12 Jan 2015, 4:07 am
When this new law comes into force all landlords will HAVE to be registered and licensed before they can rent out property. [read post]
20 Dec 2011, 5:00 am
Sources: PERAC Memorandum #34 – Placement Agent Policy PERAC Placement Agents Policy (.pdf) [read post]
16 Jul 2013, 10:10 am
Read entire Register report here. [read post]
16 Jul 2013, 10:10 am
Read entire Register report here. [read post]
24 Feb 2022, 9:25 am
Its own model rule on Dishonest or Unethical Business Practices of Broker-Dealers and Agents, enacted in whole or in part in 44 jurisdictions, prohibits agents from lending or borrowing money or securities from a customer, and NASAA included similar provisions in a model rule for investment advisers. [read post]
18 Dec 2020, 11:50 am
IncNow charges $99 for registered agent services. [read post]
10 Feb 2013, 11:07 pm
My deposit was not registered, I don’t have a receipt but just an email confirming I have paid my deposit. [read post]
2 Oct 2016, 11:54 pm
Faced with such a massive failure or refusal to register presents them with a difficult challenge. [read post]
24 Mar 2016, 1:12 am
If you have patents, don’t forget to, also, register your patents and other intellectual property. [read post]
28 Feb 2011, 8:56 am
Only an original document can be registered. [read post]
17 Apr 2019, 8:20 am
The fiduciary standard does not apply to a “customer” that is a bank, savings and loan association, insurance or registered investment company, a broker-dealer registered with a state securities commission (or agency or office performing like functions), an Advisers Act-registered investment adviser or investment adviser registered with a state securities commission (or agency or office performing like functions), or any person (whether a natural… [read post]
