Search for: "Day v. Cole County Commission"
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4 Jan 2017, 3:55 pm
Managers that participate in soft dollar programs should make sure that they have addressed any commission balances from the previous year. [read post]
15 Mar 2010, 8:47 am
Five days later, Fine rescinded his ruling and scheduled a new hearing for April 27. [read post]
5 Jan 2015, 3:31 pm
Managers that participate in soft dollar programs should make sure that they have addressed any commission balances from the previous year. [read post]
8 Dec 2021, 7:27 am
Managers that participate in soft dollar programs should make sure that they have addressed any commission balan [read post]
22 Dec 2020, 9:43 am
Last year, Cole-Frieman & Mallon hosted a well attended presentation and networking event with regulatory compliance firm Aspect Advisors. [read post]
8 Dec 2021, 11:27 am
Managers that participate in soft dollar programs should make sure that they have addressed any commission balan [read post]
4 Dec 2013, 9:07 am
Beyond the accredited investor verification requirements noted above, the SEC has proposed several additional new rules in connection with Rule 506(c) offerings, including (i) requiring an “advance” Form D filing at least 15 days before generally soliciting; (ii) requiring a “closing amendment” to Form D at the conclusion of the offering; (iii) temporarily requiring funds to submit all general solicitation materials to the SEC in advance of their use; (iv) mandating… [read post]
31 Dec 2019, 8:13 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
15 Dec 2017, 9:01 am
This year, because March 31st is a Saturday and March 30th is a market holiday, annual amendments to the Form ADV shall be filed no later than the business day following the 90-day deadline (April 2, 2018). [read post]
15 Dec 2017, 9:01 am
This year, because March 31st is a Saturday and March 30th is a market holiday, annual amendments to the Form ADV shall be filed no later than the business day following the 90-day deadline (April 2, 2018). [read post]
23 Oct 2019, 8:36 am
Last month, the military commission for the matter of United States v. [read post]
15 Dec 2022, 4:00 am
Although the project is being conducted in a purely experimental fashion using simulated data, the pilot can be seen as one of the first steps taken by a governmental agency towards creating a central bank digital currency.SEC v. [read post]
18 Dec 2023, 2:48 pm
On October 2, 2023, the Commodity Futures Trading Commission (“CFTC”) proposed amendments to modernize Regulation 4.7, significantly increasing monetary thresholds and expanding disclosure requirements. [read post]
15 Dec 2022, 8:00 am
Although the project is being conducted in a purely experimental fashion using simulated data, the pilot can be seen as one of the first steps taken by a governmental agency towards creating a central bank digital currency.SEC v. [read post]
5 Jun 2018, 4:11 am
The first was Hughes v. [read post]
26 Feb 2018, 4:32 am
Today’s second argument is in Ohio v. [read post]
22 Dec 2007, 7:31 am
GUY COLE, JR., Circuit Judge. [read post]
1 Sep 2007, 8:09 am
GUY COLE, JR., Circuit Judge. [read post]
26 Jul 2008, 6:37 pm
GUY COLE, JR., Circuit Judge. [read post]
13 Oct 2019, 7:20 pm
Clayton County, and Equal Employment Opportunity Commission v. [read post]
