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4 Dec 2017, 3:41 am
Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors (SEC Litigation Release No. 24003) https://www.sec.gov/litigation/litreleases/2017/lr24003.htmPursuant to Securities and Exchange Commission v. [read post]
29 Nov 2017, 3:00 am
It’s informal in a private room. [read post]
27 Nov 2017, 4:02 pm
In nearly all instances, in order to recommend an investment in a security, the issuer and/or broker or promoter soliciting the investment must either register the security, or seek exemption from registration (e.g., exemption through Regulation D via private placement). [read post]
27 Nov 2017, 3:00 am
See registration details. [read post]
20 Nov 2017, 5:00 am
The bill would expand the office’s goals to include issues faced by rural-area small businesses.Proxy adviser registration. [read post]
20 Nov 2017, 3:00 am
See registration details. [read post]
17 Nov 2017, 7:57 am
Bell of McCordsville, Indiana filed suit in the Southern District of Indiana alleging that Defendant, Anderson Schulle of Indianapolis, Indiana infringed his rights in the “Indianapolis Photo” registered on August 4, 2011 with the US Copyright Office, Registration No. [read post]
16 Nov 2017, 7:05 pm
The lobbying work was not disclosed to the Department of Justice as is required under the Foreign Agents Registration Act, according to the indictment. [read post]
16 Nov 2017, 1:33 pm
The grand jury is composed of a group of citizens who have been selected from voter registration, drivers license and tax lists. [read post]
15 Nov 2017, 6:21 am
Sites with less resources or less expertise are even more likely to fail. 4. [read post]
14 Nov 2017, 10:46 am
”[4] Many scholars had already vigorously discussed the issue, and thus it is unnecessary to repeat some argument. [read post]
12 Nov 2017, 11:00 pm
This ruling will make it more difficult for public companies defending securities fraud class actions to oppose class certification unless certain indirect evidence of inefficiency is also present.[1] Background In June 2014, the New York Attorney General (“NYAG”) filed suit against Barclays under New York’s Martin Act, alleging that Barclays concealed information about the operation of its private “dark pool” trading system, LX. [read post]
6 Nov 2017, 2:04 pm
The following is the new DWI law in New Jersey with all of its amendments:N.J.S.A. 39:4-50 Driving While Intoxicated39:4-50. [read post]
6 Nov 2017, 1:39 pm
Notification of owner of dog; hearing 4. a. [read post]
6 Nov 2017, 1:39 pm
Notification of owner of dog; hearing 4. a. [read post]
6 Nov 2017, 6:50 am
B2C + B2B) liabilities of electronic data processors (“EDPs”) vary greatly between jurisdictions registration threshold (nil v. same as domestic businesses) registration (simplified registration v. standard registration) returns (complex v simple returns; monthly v. quarterly returns) invoicing requirements (required or not) bookkeeping requirements data collection requirement (is the customer a business or not; where is the consumer… [read post]
6 Nov 2017, 3:00 am
See registration details here. [read post]
3 Nov 2017, 10:51 am
Equifax Inc.; No. 4:17-cv-02644 (D.S.C. [read post]
28 Oct 2017, 6:12 am
The origin story of this draft derives from the March 2016 meeting of Council on General Affairs and Policy at the Hague Conference on Private International Law - see minutes here. [read post]
27 Oct 2017, 2:16 am
CFTC Matters: CFTC Grants SEF and DCO Registration to LedgerX. [read post]
