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1 Dec 2017, 2:55 pm
Id. at 2. [7] Urska Velikonja, Behind the Annual SEC Enforcement Report: 2017 and Beyond 1 (November 19, 2017), available here. [8] Id. at 2, 4-6. [9] Id. at 5, n. 6. [10] See id. at 5, n. 7. [11] See id. at 4. [12] S.E.C. [read post]
25 Jan 2021, 10:15 am
” It is allegedly “a trusted name among sales representatives in the direct marketing supplement industry. [read post]
26 May 2015, 2:50 pm
The examinations focused on if and how the examined BDs and RIAs establish (1) cybersecurity policies, procedures, and oversight processes, (2) protect their networks and information, and (3) detect and handle unauthorized activities and other cyber-attacks. [read post]
26 May 2015, 2:50 pm
The examinations focused on if and how the examined BDs and RIAs establish (1) cybersecurity policies, procedures, and oversight processes, (2) protect their networks and information, and (3) detect and handle unauthorized activities and other cyber-attacks. [read post]
10 Nov 2020, 6:31 pm
Over the years, our case law has allowed greater leeway in how the state may allege that possessory capability, such as if the victim’s name inherently denotes the ability to own property (inc., corp., LLC, church, trust, etc.) or by simply including the catch-all phrase “a legal entity capable of owning property. [read post]
4 Nov 2011, 10:31 am
(As the late, great Judge Becker said about panels, though, 2 is more than 1.)McSherry: two underlying problems—the copyright term and statutory damages. [read post]
10 Aug 2020, 11:45 am
See posts from August 1, 2020. [read post]
13 Jun 2012, 4:01 am
For example, if a GC begins work on a private construction project on January 1, 2012 and files a claim of lien on real property on June 1, 2012, the claim will “relate back” to the January 1 date of first performance – even though in those five months, the lien remained “hidden” from the public record. [read post]
28 Jun 2018, 6:38 am
Commonality of interest test: Pre-rule guidance New rule A group or association only has commonality of interest among its employer-members if they are both (1) in the same line of business and (2) in the same geographic location Commonality of interest can be found if the employer-members are either (1) in the same trade, industry, or profession or (2) have their principal places of business within the same state or metropolitan area (even if that… [read post]
7 Apr 2014, 5:30 am
Trust, 565 S.E.2d 603, 605 (Ga. [read post]
21 Sep 2011, 3:31 am
In general this means that the SEC registered fund manager will need make sure that the fund (1) maintains its assets with a qualified custodian and (2) has an annual audit by a PCAOB Registered and Inspected audit firm. [read post]
27 Jun 2018, 7:47 am
Commonality of interest test: Pre-rule guidance New rule A group or association only has commonality of interest among its employer-members if they are both (1) in the same line of business and (2) in the same geographic location Commonality of interest can be found if the employer-members are either (1) in the same trade, industry, or profession or (2) have their principal places of business within the same state or metropolitan area (even if that… [read post]
24 Mar 2020, 2:16 pm
1. [read post]
28 Feb 2020, 2:00 am
And to truly make a trusting, engaged, and secure team, you’ll need to combine financial remuneration with other retention strategies. 2. [read post]
16 May 2014, 8:19 am
GreatBanc Trust Co. [read post]
16 Jan 2012, 8:35 am
Therefore, to fulfill their duty the broker and the firm needed, at a minimum, to apprise themselves of: 1) the opinions of the three major rating agencies as to the bondsandrsquo; credit risks 2) the facts and terms of the bonds they were proposing for sale 3) general market conditions 4) and the risk of default. [read post]
30 Mar 2011, 11:48 am
Fund Characteristics + Management fees Most funds compensate their manager with both an asset based management fee (often 1-2% of NAV) and a performance based profit allocation (generally 20% of realized and unrealized gains). [read post]
20 Jun 2024, 9:01 pm
Given the experience of moving from T+3 to T+2, we anticipated fail rates might go up following the transition to T+1. [read post]
8 Jan 2010, 10:37 am
[1] See NACEPF v. [read post]
23 Mar 2022, 1:43 pm
Restitution applies to people who are on (1) probation; (2) incarcerated; or (3) on parole or mandatory supervision. [read post]
