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30 Sep 2019, 4:27 pm
As previously discussed, all offerings of securities, must either be registered with the SEC or exempt from such registration. [read post]
27 Sep 2019, 3:00 am
At trial, Kian also presented evidence that he had intended to register under the Foreign Agents Registration Act until a lawyer advised him it was unnecessary in his case. [read post]
27 Sep 2019, 12:09 am
That does not show landlords, just registered owners.) [read post]
26 Sep 2019, 4:51 pm
Department of Justice announced on Sept. 25 the arrest of Ji Chaoqun on the charge that he was as an agent of the Chinese government acting in the U.S. without registering under the Foreign Agents Registration Act. [read post]
26 Sep 2019, 4:09 pm
A work is prepared or published by the Crown where the Crown prepares or publishes the work through an employee or agent. [read post]
25 Sep 2019, 10:41 pm
The resorts ended up in receivership, and Quiros and Stegner were accused of having diverted investor funds, with the assistance of a registered representative at the investment bank of Raymond James & Associates, Inc. [read post]
25 Sep 2019, 6:02 am
With a workforce of almost 4,400 staff in Washington and across our 11 regional offices, the SEC oversees, among other things: (1) approximately $96 trillion in securities trading annually on U.S. equity markets; (2) the disclosures of approximately 4,300 exchange-listed public companies with an approximate aggregate market capitalization of $33 trillion; and (3) the activities of over 26,000 registered entities and registrants including, among others, investment advisers, broker-dealers,… [read post]
23 Sep 2019, 9:46 am
AB 5 exempts from its scope certain professions including licensed insurance agents, certain licensed health care professionals, registered securities broker-dealers or investment advisers, a direct sales salesperson, real estate licensees, workers providing hairstyling or barbering services, and those performing work under a contract for professional services. [read post]
23 Sep 2019, 9:46 am
AB 5 exempts from its scope certain professions including licensed insurance agents, certain licensed health care professionals, registered securities broker-dealers or investment advisers, a direct sales salesperson, real estate licensees, workers providing hairstyling or barbering services, and those performing work under a contract for professional services. [read post]
23 Sep 2019, 8:05 am
Investment advisers registered or required to register in Virginia must maintain and preserve records of their respective physical security and cybersecurity policies and procedures, and their client privacy policy. [read post]
21 Sep 2019, 1:31 pm
FINRA also found that the CIM also failed to disclose that one of Ross Sinclaire’s registered representatives was Vice President or the issuer. [read post]
20 Sep 2019, 4:25 pm
You also need to register with HMRC if you pay a UK representative of your landlord, such as a friend or family member, who isn’t a letting agent. [read post]
19 Sep 2019, 11:01 am
AB 1518 will allow student athletes to contract with agents without losing their student athlete status—provided the contract complies with the student’s educational institution’s requirements and the bylaws of the NCAA—and to receive compensation. [read post]
19 Sep 2019, 10:37 am
Industry/Professional Exemptions The following industries and professions are exempt from the ABC Test: Insurance agents Securities broker-dealers or investment advisers, who are registered with the SEC FIRA or licensed by California Physicians, surgeons, dentists, podiatrists, or psychologists Licensed lawyers, architects, private investigators, accountants and engineers Veterinarians Direct sales salespersons Licensed realtors Hair stylists/barbers, estheticians,… [read post]
18 Sep 2019, 8:39 am
The duty of a Delaware Registered Agent is to forward annual notices and court notices to the business wherever it may operate. [read post]
17 Sep 2019, 9:42 am
Certain other occupational exemptions, including (but not limited to) certain medical professionals, attorneys, architects, engineers, private investigators, registered securities brokers and dealers, commercial fishermen, real estate agents, construction subcontractors, and individuals providing roadside services pursuant to a contract between a motor club and a third party business. [read post]
17 Sep 2019, 5:25 am
Chinese agents came across the border to snatch other people it didn’t like, denying them their right to appear in Hong Kong courts. [read post]
13 Sep 2019, 3:00 am
Many former members also balk, at least initially, at the idea of registering as a federal lobbyist or foreign agent, setting out limitations that firms find increasingly frustrating. [read post]
12 Sep 2019, 6:50 am
The final policies, which are scheduled to be published in tomorrow’s Federal Register, are applicable as of September 10, 2019. [read post]
11 Sep 2019, 9:13 am
(“Atlas”) both of Evansville, Indiana, filed suit in the Southern District of Indiana alleging that Defendant, American Wide Relocation Inc. d/b/a Atlas Moving and Storage (“American”) of North Palm Beach, Florida, infringed their rights in United States Registration Nos. 3,718,117 for the mark “ATLAS”, and 1,591,344 for the mark “ATLAS—THE AGENTS’ VAN LINES” (the “Registered Marks”). [read post]
