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14 Oct 2010, 6:44 am
In Section 409 of Dodd-Frank Act, Congress required the SEC to define “family office” for the purpose of exempting such groups from the registration requirements under the Advisers Act. [read post]
26 Dec 2006, 6:42 am
William Lerach said his firm would pay the fees if it does not prevail on appeal or fails to persuade the judge to change her mind, the Journal reported. [read post]
24 Jul 2010, 1:07 pm
The definition of an accredited investor now does not include the value of an investor’s primary residence. [read post]
17 Dec 2013, 9:24 pm
1. [read post]
3 Jan 2009, 9:45 am
Just choose a style and stick to it.5. [read post]
10 Aug 2012, 1:02 pm
§ 1514A(a)(1). [read post]
19 Aug 2010, 8:07 am
Does an open-ended fiduciary duty make sense? [read post]
4 Sep 2016, 6:00 pm
Legally Frank is entitled to a 1/5 share. [read post]
11 May 2022, 1:54 pm
Haggerty, No. 19-cv-00164, 2020 WL 2557230, *5 (D. [read post]
12 May 2011, 4:44 am
Does your company have a Disclosure Committee Charter? [read post]
6 Aug 2014, 2:57 pm
However, that does not answer the question of whether EB-5 offerings are subject to the registration requirements that apply to U.S. securities broker-dealers, investment companies and investment advisers. [read post]
14 Dec 2011, 5:00 am
Bulkeley, 5:11cv-00463-D (E.D.N.C., filed September 1, 2011)). [read post]
14 Feb 2010, 5:39 am
Editor’s Note: This post comes to us from Frank G. [read post]
29 Nov 2009, 3:57 pm
Privileges, such as the Attorney-Client privilege, are designed “to encourage full and frank communicationâ€[1] between persons in certain relationships. [read post]
16 Mar 2008, 8:57 am
1. [read post]
19 Aug 2011, 2:30 am
The two network rule does not take effect for issuers until April 1, 2012.[11] These merchant-directed routing fees will likely create a burden on small banks and credit unions regardless of their exemption from the rule. [read post]
16 Jun 2012, 6:33 am
Super. 1, 9 (App. [read post]
6 May 2015, 11:17 am
Pursuant to the Dodd-Frank Act, it is the ASC, and not the federal agencies, that is responsible for establishing any potential AMC National Registry fee. [read post]
24 Aug 2012, 4:23 pm
Because it is authorized under Title X of Dodd-Frank, it is not subject to the Jan. 21, 2013 final rule deadline for rules under Title XIV of Dodd-Frank. [read post]
24 Aug 2010, 2:04 am
Alternate communications between the member and its customers; 5. [read post]
