Posts tagged with: "206"
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14 Sep 2015, 7:58 am
The defendants have also been charged with violating the securities registration provisions of Section 5(a) and 5(c) of the Securities Act, as well as Sections 206(1) and (2) of the Investment Advisers Act of 1940. [read post]
10 Sep 2015, 9:45 am
Sept. 15, 2015, 4-5:30 PM, New York City, NYU Law School, 40 Washington Square South, Vanderbilt Hall, Rm. 206: “The Grasping Hand: Kelo v. [read post]
10 Sep 2015, 8:54 am
Call us at 206-285-1743. [read post]
10 Sep 2015, 8:54 am
Call us at 206-285-1743. [read post]
9 Sep 2015, 2:10 pm
§ 206(d)) has been on the books since 1963. [read post]
9 Sep 2015, 8:53 am
The Commission upheld the ALJ’s findings that the company misled investors about its “Buckets of money” investment strategy in violation of Advisers Act Sections 206(1), 206(2), and 206(4). [read post]
8 Sep 2015, 3:38 pm
Submissions should include a short abstract (300 words maximum) and biography (150 words maximum).Conference Organizer:Professor Eang Ngov, engov@barry.edu>, office (321) 206 -5677, cell phone (571) 643-2691 [read post]
6 Sep 2015, 8:03 pm
The Supreme Court’s recent decision in Chevron Corp. v. [read post]
3 Sep 2015, 5:14 am
Additionally, FINRA only permits member firms to pay transaction-related compensation to non-registered foreign finders where the finders’ sole involvement is the initial referral, and the member firm complies with the following conditions: the member firm has assured itself that the finder who will receive the compensation is not required to register in the United States as a broker-dealer nor is subject to a disqualification as defined in Article III, Section 4 of FINRA’s By-Laws, and… [read post]
2 Sep 2015, 6:38 am
Also omitted was the fact that, over the last five years, there were 206 executions, or slightly more than one every ten days.Adding to Ms. [read post]
31 Aug 2015, 10:15 am
(Pending Petition Case No. 15-206, mobilemediapetition). [read post]
30 Aug 2015, 4:42 pm
Gaines, 346 Or 160, 171-72, 206 P3d 1042 (2009). [read post]
30 Aug 2015, 4:42 pm
Gaines, 346 Or 160, 171-72, 206 P3d 1042 (2009). [read post]
30 Aug 2015, 4:42 pm
Gaines, 346 Or 160, 171-72, 206 P3d 1042 (2009). [read post]
30 Aug 2015, 4:42 pm
Gaines, 346 Or 160, 171-72, 206 P3d 1042 (2009). [read post]
29 Aug 2015, 7:47 pm
Attorney's Office for the Western District of Washington at 206-553-4110. [read post]
26 Aug 2015, 9:43 am
Give us a call at one of our locations in Seattle, Bellevue, or Vancouver and we’ll be happy to get you some answers. 206-285-1743. [read post]
26 Aug 2015, 9:43 am
Give us a call at one of our locations in Seattle, Bellevue, or Vancouver and we’ll be happy to get you some answers. 206-285-1743. [read post]
23 Aug 2015, 10:35 am
If you have additional questions regarding filing for chapter 13 bankruptcy in Washington State, give Symmes Law Group a call at 206-682-7975 to learn about your options. [read post]
21 Aug 2015, 9:55 am
The SEC brought the charges under Section 15(g) of the Securities Exchange Act of 1934, which requires brokers and dealers to establish, maintain, and enforce policies and procedures to prevent the misuse of material, nonpublic information, as well as Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-(7), which require registered investment advisers to adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers… [read post]
