Search for: "Blue Sky Trust"
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19 Feb 2011, 6:35 pm
"Compliance with Blue Sky LawsRegulation of Rule 506 offerings is preempted by federal laws. [read post]
18 Aug 2010, 7:00 am
Traditionalists respond to pastels - pink, rose, sky blue. [read post]
7 Jan 2020, 7:19 am
It is also rich in materials from CCH, like the Blue Sky Law Reporter, Federal Banking Law Reporter, Federal Carrier Reporter, Federal Securities Law Reporter, and Products Liability Reporter. [read post]
25 Oct 2023, 5:00 am
“While we must address the legitimate concerns regarding the risks of generative AI adoption, it’s equally critical to recognize the transformative value this technology can offer if we are able to effectively manage the risks in an ethical, responsible and compliant manner,” write Natalie Pierce and Stephani Goutos , attorneys at Gunderson Dettmer, in the Columbia Law School Blue Sky Blog. [read post]
16 Dec 2010, 7:48 am
Legal counsel for the Nebraska Department of Banking and Finance, responding to a no-action letter request, interpreted the definition of an "institutional buyer" specified by statutory exemption at Section 8-1111(8) of the Nebraska Securities Act and elaborated upon in a 1985 interpretative opinion (No. 10), by agreeing with the requesting limited liability partnership (LLP) that entities other than those expressly stated in the exemption and interpretative opinion may be institutional… [read post]
11 Sep 2011, 10:45 am
"Here's where you killed our innocent loved ones, out of the blue. [read post]
16 Aug 2019, 1:00 am
Joseph Warburton The CLS Blue Sky Blog I analyze fiduciary duties in a unique setting – the British mutual fund industry – where trusts and corporations exist within the same industry. [read post]
20 Nov 2015, 8:00 am
Offerings below $20 million in a 12-month period (“Tier 1”) must comply with state blue sky registration and qualification requirements unless the issuer chooses to comply with the Tier 2 requirements. [read post]
20 Nov 2015, 8:00 am
Offerings below $20 million in a 12-month period (“Tier 1”) must comply with state blue sky registration and qualification requirements unless the issuer chooses to comply with the Tier 2 requirements. [read post]
13 Jun 2014, 5:55 am
Baer in CLS Blue Sky BLog From this typology, one can see why corporate fraud so often mixes planned and impulsive conduct and why the corporate compliance department is likely to have its hands full: With the exception of the employees in category (a), everyone within the corporation has the potential to contribute to or perpetrate a fraud. [read post]
6 Aug 2012, 5:04 am
The blue collar guy who out-performed all the golden boys of summer. [read post]
20 Sep 2023, 12:11 pm
What the trust? [read post]
25 Jul 2019, 1:00 pm
Maunakea is also “ceded land,” held in the public trust for future generations of Native Hawaiians. [read post]
26 Jun 2018, 7:03 am
The Second Circuit held that HERA replaced the statutes of repose in the Securities Act and the Virginia and D.C. blue sky laws. [read post]
9 Nov 2021, 6:16 pm
Here are three resources I use: DailyOM: Inspirational Thoughts for a Happy, Healthy, and Fulfilling Day By Madisyn Taylor Madisyn’s exercises, like “Linking Center: Checking in with Your Heart”, “Sky-Blue Healing: Blue-Light Guided Meditation,” and “Gut Response: In Touch with True Emotions,” are easy to learn and practice. [read post]
14 Feb 2014, 5:48 am
Kocher in CLS Blue Sky BLog Consistent with this view, we have prepared the attached sample Status Certification Letter that is designed to allow an individual investor to approach one of his or her existing trusted advisors that is a Permitted Third Party Verifier (lawyer, CPA, etc.) to provide a certification of the underlying information on which the issuer may base its determination of the status of the investor. [read post]
1 Apr 2016, 6:00 am
by Hans Christensen, Eric Floyd, Lisa Liu and Mark Maffett in the CLS Blue Sky Blog Regulators seem to think so. [read post]
18 Oct 2011, 3:19 am
Make requisite blue sky filings (or notice filings) in states where fund shares will be sold. [read post]
Former National Securities Corporation Broker Brian Folland Subject to Numerous Customers Complaints
8 Oct 2015, 6:36 am
Customers have filed complaints against Folland alleging securities law violations including that the broker made unsuitable investments, negligence, misrepresentations, breach of fiduciary duty, violation of blue sky statutes in several states, and fraud among other claims. [read post]
15 Apr 2016, 5:52 am
Pritchard in the CLS Blue Sky Blog We show that the shift toward administrative proceedings has been accompanied by a substantial increase in the average civil penalty imposed on non-financial public companies named as defendants, both in court and in administrative proceedings. [read post]
