Posts tagged with: "206"
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1 Nov 2016, 8:01 am
Frazier, 206 N.C. [read post]
31 Oct 2016, 7:16 am
Section 206 of the Advisers Act makes it unlawful for covered investment advisers, directly or indirectly, to (1) “employ any device, scheme, or artifice to defraud any client or prospective client” or (2) “engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client. [read post]
31 Oct 2016, 7:05 am
In seven of those cases, Commissioner Piwowar and former Commissioner Daniel Gallagher joined in taking exception to municipal adviser and NRSRO bars (Commissioner Piwowar made the same exception on his own in another such case).Commissioners Piwowar and Gallagher also joined forces in several other cases by taking exception to corporate penalties, charges of direct violations of Investment Advisers Act Sections 206(1) and (2), and the retroactive application of Sarbanes-Oxley Act Section… [read post]
30 Oct 2016, 2:43 pm
If you live in Washington State and have received a letter or a legal summons and complaint from Cavalry SPV I LLC and have questions about it, give Symmes Law Group a call at 206-682-7975 to learn about your options. [read post]
28 Oct 2016, 1:26 am
Aziz, Texas A&M University School of Law ,January 31, 2016, Contemporary Sociology: A Journal of Reviews, Vol. 45, Iss. 2, p. 204-206, 2016 Abstract: The human need to... [read post]
25 Oct 2016, 11:15 am
History also tells us that the electoral vote may not follow the popular vote, as demonstrated by the 2000 election and recent results (2012 – 332 to 206; 2008 – 365 to 173; 2004 – 286 to 251). [read post]
24 Oct 2016, 9:19 am
Call Shaw Family Law, P.C. today at 630-206-3300 for a personal consultation. [read post]
23 Oct 2016, 2:50 pm
§206(d)(1). [read post]
21 Oct 2016, 3:32 pm
If you live in Washington state and have additional questions about how to deal with your tax debt, give Symmes Law Group a call at 206-682-7975 to learn about your options. [read post]
17 Oct 2016, 12:28 pm
Call Shaw Family Law, P.C. today at 630-206-3300 for a special consultation. [read post]
17 Oct 2016, 12:00 am
One is Proposition 205, which would legalize recreational marijuana if passed; the other is Proposition 206 which would increase the state's minimum wage from $8.05 per... [read post]
16 Oct 2016, 2:00 pm
Aziz, The Headscarf Debates: Conflicts of National Belonging (Book Review), Contemporary Sociology: A Journal of Reviews, Vol. 45, Iss. 2, p. 204-206, 2016.Guido Calabresi & Eric S, Fish, Federalism and Moral Disagreement, (Minnesota Law Review, Forthcoming).Douglas NeJaime & Reva Siegel, What Obergefell v. [read post]
14 Oct 2016, 9:00 am
., Suite 201, Portland, OR 97215 Email: napolsjobs@lasoregon.org / Fax: (503) 206-7073 Please, no phone calls. [read post]
CA Appeals Court Finds Dispensary was a Prohibited “Medical Marijuana Business” Under City Ordinance
13 Oct 2016, 10:08 pm
., 206 Cal. [read post]
10 Oct 2016, 12:26 pm
Call Shaw Family Law, P.C. today at 630-206-3300 for a personal consultation. [read post]
7 Oct 2016, 8:35 am
The SEC Enforcement Division alleges that Balter violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, Section 17(a) of the Securities Act of 1933, Sections 206(1), 206(2), 206(4) and 207 of the Investment Advisers Act of 1940 and Rule 206(4)-8, and Sections 13(a) and 34(b) of the Investment Company Act of 1940. [read post]
4 Oct 2016, 7:37 am
” The SEC Enforcement Division alleges that Balter violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, Section 17(a) of the Securities Act of 1933, Sections 206(1), 206(2), 206(4) and 207 of the Investment Advisers Act of 1940 and Rule 206(4)-8, and Sections 13(a) and 34(b) of the Investment Company Act of 1940. [read post]
4 Oct 2016, 6:00 am
Obviously there is some conflict from the face of the code with SEC Rule 206(4)-5 that limits certain employees of registered investment advisers from making campaign contributions to certain elected officials. [read post]
3 Oct 2016, 3:50 pm
Spurred by industrial customers’ challenge to MISO’s ROE rate in 2013, FERC ultimately found in its September 28, 2016 order that MISO’s ROE of 12.38% – which had been in place since 2002 – was unjust and unreasonable, and reset it to a base rate of 10.32%.[2] Transmission owners may also qualify for transmission incentive ROE adders, although the maximum ROE rate may not exceed 11.35%.[3] FERC also ordered that refunds be issued on a prospective basis for… [read post]
3 Oct 2016, 12:25 pm
Call Shaw Family Law, P.C. at 630-206-3300 to schedule a consultation. [read post]
