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30 Mar 2010, 10:34 am
Second, an individual could identify on their own that they are subject to an existing order which would require an application with RAD.Third, if someone is seeking to transfer their registration to a new broker-dealer, then any existing state orders which would require an application with RAD as a result of the revised Rule 9520 Series would be disclosed by the CRD (the central licensing and registration system for the U.S. securities industry and its regulators) when it is… [read post]
17 Dec 2009, 1:57 am
The ultimate power in any company rests with the shareholders or the members except on very very limited issues like declaration of dividend.5. [read post]
26 Sep 2019, 10:39 am
Absent this regulation, such contact in most instances violated Section 5 of the ’33 Act as a solicitation of investment without an effective Registration Statement. [read post]
23 Dec 2015, 9:03 am
Whatever value disparaging speech might possess when used in private life, it loses when used in commerce. [read post]
15 Mar 2018, 6:22 am
CCOs and other senior staff in private advisory firms typically participate in the panels as well. [read post]
11 Jan 2018, 4:33 am
Philip Randolph Institute, in which the justices will decide whether Ohio’s voter-roll-maintenance process violates federal voter-registration laws. [read post]
3 Apr 2023, 1:40 pm
Expect continued aggressive enforcement out of this FTC, with a focus on revitalizing vertical merger enforcement, the Commission’s Section 5 authority, and Robinson-Patman Act enforcement. [read post]
17 Apr 2013, 3:00 am
Paul Varul, University of Tartu, Estonia 5. [read post]
19 Sep 2017, 8:15 am
We have seen deductions range from 5% to 40%. [read post]
22 Mar 2023, 3:30 am
Director Skills & Backgrounds: Why Your Disclosures Need a Refresh… & How To Do It 5. [read post]
22 Sep 2010, 9:23 am
Costs and fees: The cost of the registration in 5 days period is 544 MDL (about 31 euros/45 USD). [read post]
30 Nov 2016, 5:27 pm
My registration fee is higher than the $36 required by G.S. 20-87(5) for the registration of private passenger vehicles of not more than 15 passengers. [read post]
30 Nov 2016, 5:27 pm
My registration fee is higher than the $36 required by G.S. 20-87(5) for the registration of private passenger vehicles of not more than 15 passengers. [read post]
23 Apr 2012, 2:00 am
But maybe not, hedge funds also must be concerned about whether they are subject to registration under the Investment Company Act of 1940. [read post]
4 Aug 2010, 7:35 am
The shifting powers of brands 5. [read post]
20 Oct 2020, 6:27 pm
Assembly Bill 5 (“AB 5”) adopted the three-prong ABC test from Dynamex Operations W. [read post]
9 Sep 2020, 12:09 pm
Natural persons who are a “knowledgeable employee,” as defined in Rule 3c-5(a)(4) under the Investment Company Act of 1940, of the private-fund issuer of the securities being offered or sold are now included as accredited investors. [read post]
16 Jun 2011, 10:25 am
The letter requested that the NASAA limit quarter end disclosure to positions that comprise 5% or more of a fund’s portfolio and exclude all disclosure with respect to short positions. [read post]
12 Mar 2009, 2:46 pm
These transactions tend to be priced at the prime rate with a floor of 5%. [read post]
11 Dec 2009, 12:19 pm
It looks like it kept the all the Amendments to the Private Fund Investment Advisers Registration Act as it was passed by the House Financial Services Committee. ------------ TITLE V-CAPITAL MARKETS Subtitle A-Private Fund Investment Advisers Registration Act SEC. 5001. [read post]
