Search for: "Providence Bank v. Billings" Results 721 - 740 of 1,919
Sort by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
15 Dec 2017, 9:01 am by CFM Admin
  Under the Custody Rule, if a registered investment adviser has custody of “client funds or securities”, then it must maintain those client assets with a qualified custodian (generally a bank, broker-dealer, FCM or other financial institution), subject to certain exceptions. [read post]
15 Dec 2017, 9:01 am by CFM Admin
  Under the Custody Rule, if a registered investment adviser has custody of “client funds or securities”, then it must maintain those client assets with a qualified custodian (generally a bank, broker-dealer, FCM or other financial institution), subject to certain exceptions. [read post]
12 Dec 2017, 4:36 pm by Kevin LaCroix
On July 25, 2017, the SEC provided important initial guidance on its views of whether ICOs are securities when it released a Section 21(a) Report of Investigation on its findings regarding the token sale by The DAO (more on the report itself later). [read post]
11 Dec 2017, 6:12 am by Scott M. Pearson
This bill is a welcome accompaniment to the “Madden fix” bills that have been introduced in the House and Senate to eliminate the uncertainties created by the Second Circuit’s decision in Madden v, Midland Funding. [read post]
11 Dec 2017, 3:28 am by Peter Mahler
Section 10.01 provided a sole exception to its requirements, for a lifetime or testamentary transfer of a membership interest to an immediate family member. [read post]
10 Dec 2017, 8:16 am
And, as is usual in these matters, it is not the officials but rather people (individuals and communities) who are left to pay the bill. [read post]
6 Dec 2017, 4:52 am by Hon. Richard G. Kopf
Miller, 425 U.S. 435 (1976) (banking records). [read post]
3 Dec 2017, 9:00 pm by Administrator
… Startup SourceNew Venture Fund Provides Support to Female Entrepreneurs The Business Development Bank of Canada (BDC) and the MaRS Investment Accelerator Fund (IAF) recently announced the first closing of StandUp Ventures Fund I, an initiative to provide financing and advisory services to female-led businesses and startups. [read post]