Search for: "IN RE AMENDMENT TO RULE 4(F) OF THE RULES OF THE CLIENT SECURITY FUND COMMITTEE"
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10 Dec 2009, 6:09 am
Background The SEC has incorporated the term "nationally recognized statistical rating organization" ("NRSRO") into various rules and forms for over 30 years, beginning with amendments to its broker-dealer net capital rule in 1975. [1] Since then, the term "NRSRO" has been used by the SEC to define eligibility to use various registration statement forms, [2] and in rules that describe the information that must be disclosed by… [read post]
29 Jan 2009, 2:44 pm
While the previous bill amended the Investment Advisers Act of 1940, this bill amends the Investment Company Act of 1940 (”ICA”). [read post]
16 Jun 2022, 9:05 pm
”[4] Thus, nearly fifty years ago, the SEC concluded that environmental disclosure would “promote investor protection. [read post]
27 Mar 2023, 9:01 pm
Conversely, “Retail Trade” filings increased from 4% to 9%, the high watermark in recent years. [read post]
16 Mar 2020, 1:54 pm
Beaver County Employees Retirement Fund, 138 S. [read post]
20 Jan 2022, 12:16 pm
For example, in In re: Tal Education Group Securities Litigation, the U.S. [read post]
28 Jan 2009, 9:40 am
Organized in 1996 and re-organized in 2003, the Bayou Fund and its various successor hedge funds were all managed by Bayou Management LLC, and the trading activities of the group were conducted through a single, captive broker-dealer called Bayou Securities LLC.[4] All these entities were owned and controlled by Sam Israel ("Israel"), the chief executive of Bayou Management. [read post]
8 Sep 2022, 9:01 pm
”[4] In general, the investing public is buying or selling crypto security tokens because they’re expecting profits derived from the efforts of others in a common enterprise. [read post]
5 Apr 2009, 1:26 pm
(Editor’s Note: This post is based on a client memorandum by Jonathan C. [read post]
16 Feb 2021, 2:23 pm
San Mateo Dec. 4, 2020). [read post]
24 Feb 2020, 10:02 am
The rules are generally public. [read post]
20 Mar 2017, 9:31 am
It would overturn the rule of In re Nassau Cty. [read post]
1 Feb 2023, 9:01 pm
As one House Committee Report stated, exempt offerings should be “a specific or an isolated sale of…securities to a particular person”[10] and were intended for limited transactions “where the public benefits are too remote. [read post]
4 Jun 2021, 4:00 am
It is a rule imposed by senators and could be eliminated by a united rank of Democrats. [read post]
10 Nov 2013, 5:30 am
http://t.co/cacsj5QaY7 -> Computer and Internet Law Updates for 2013-11-04: Legal Education: One Vision of the Future http://t.co/RpX… http://t.co/z5WTIShMEQ -> Combating Counterfeit Products Act before Standing Committee http://t.co/IPNw7iA0Ap -> Combating Counterfeit Products Act before Standing Committee: The House of Commons Standing Committee on Indus… http://t.co/GoeLxO96H4 -> POLL: Are NSA, DHS Products Parody or Copyright Infringement? [read post]
29 Sep 2011, 2:00 am
INSIDER TRADING ANALYSIS The Court undertook a detailed analysis of the classical and misappropriation theories of insider trading under section 10(b) of the Securities Exchange Act of 1934, as amended, and Rule 10b-5 promulgated thereunder. [read post]
29 Sep 2011, 2:00 am
INSIDER TRADING ANALYSIS The Court undertook a detailed analysis of the classical and misappropriation theories of insider trading under section 10(b) of the Securities Exchange Act of 1934, as amended, and Rule 10b-5 promulgated thereunder. [read post]
29 May 2016, 9:09 am
§ 949p-4(b)(3); see also 10 U.S.C. [read post]
28 Mar 2011, 7:02 pm
Under Rule 9011 of the bankruptcy rules of procedure, a party can demand that part or all of a complaint be withdrawn. [read post]
15 Feb 2018, 4:41 pm
As amended by the HITECH Act, the civil enforcement provisions of HIPAA empower OCR to impose Civil Monetary Penalties on both Covered Entities and BAs for violations of any of the requirements of the Privacy or Security Rules. [read post]
