Posts tagged with: "206"
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18 Aug 2015, 11:29 am
The Citigroup affiliates consented to settle without admitting or denying the findings that they willfully violated Sections 17(a)(2) and (3) of the Securities Act of 1933, GCMI willfully violated Section 206(2) of the Investment Advisers Act of 1940, and CAI willfully violated Section 206(4) of the Advisers Act and Rules 206(4)-7 and 206(4)-8. [read post]
18 Aug 2015, 8:52 am
National Australia Bank also applied to Investment Advisers Act Section 206. [read post]
17 Aug 2015, 1:03 pm
Nebraska Statute 25-206. [read post]
17 Aug 2015, 9:55 am
The defendant was convicted, following a jury trial, of assault in the first degree in violation of General Statutes § 53a-59 (a) (1), unlawful restraint in the first degree in violation of General Statutes § 53a-95 (a), and carrying a dangerous instrument in violation of General Statutes § 53-206 (a). [read post]
12 Aug 2015, 7:02 am
Give us a call at 206-285-1743 or visit one of our Seattle, Bellevue, or Vancouver locations. [read post]
12 Aug 2015, 7:02 am
Give us a call at 206-285-1743 or visit one of our Seattle, Bellevue, or Vancouver locations. [read post]
12 Aug 2015, 6:30 am
Section 206 of the Housing Act 1996 (‘the 1996 Act’) provides that a housing authority, when discharging its duty to house a homeless person to whom it owes what is known as the main housing duty, must provide accommodation that is suitable. [read post]
10 Aug 2015, 5:00 am
Gallagher, Statement on Recent SEC Settlements Charging Chief Compliance Officers With Violations of Investment Advisers Act Rule 206(4)-7 (June 18, 2015), available at http://www.sec.gov/news/statement/sec-cco-settlements-iaa-rule-206-4-7.html (last accessed July 7, 2015). [read post]
7 Aug 2015, 3:21 am
According to Madrid (Marks) Notification No. 206: Protocol Relating to the Madrid Agreement Concerning the International Registration of Marks, the Government of the People’s Democratic Republic of Algeria has now deposited its instrument of accession to the Madrid Protocol ("Relating to the Madrid Agreement Concerning the International Registration of Marks"), with the qualification that "in accordance with Article 5(2)(d) of the Madrid Protocol (1989), under Article… [read post]
3 Aug 2015, 7:35 am
However, on June 25, the SEC stated until there is an effective date of a Financial Industry Regulatory Authority (FINRA) pay-to-play rule or an effective date of a Municipal Securities Rulemaking Board (MSRB) pay-to-play rule, whichever is later, the Division of Investment Management would not recommend enforcement action to the SEC against an investment adviser or its covered associates under rule 206(4)-5(a)(2)(i) for the payment to any person to solicit a government entity for… [read post]
31 Jul 2015, 3:00 am
The U.S. [read post]
29 Jul 2015, 6:30 am
Rule 206(4)-5 became effective on September 13, 2010 and the compliance date for the third-party solicitor ban was set to September 13, 2011. [read post]
27 Jul 2015, 6:25 am
The U.S. [read post]
24 Jul 2015, 9:17 am
Give us a call at 206-285-1743. [read post]
24 Jul 2015, 9:17 am
Give us a call at 206-285-1743. [read post]
22 Jul 2015, 4:31 am
Those 3 states are only 28 electoral votes, nowhere nearly enough to swing the election, which Obama won 332 to 206, but those are the swing states Quinnipiac polled and Hillary lost all of them, to each of the 3 Republicans who were polled. [read post]
16 Jul 2015, 9:43 am
Contact us or give us a call at 206-285-1743. [read post]
16 Jul 2015, 9:43 am
Contact us or give us a call at 206-285-1743. [read post]
16 Jul 2015, 8:50 am
Bicycle Accident Statistics According to California Highway Patrol’s 2012 Statewide Integrated Traffic Records System (SWITRS), there were two fatalities and 206 injuries reported as a result of bicycle accidents in Santa Ana. [read post]
12 Jul 2015, 7:08 pm
The complaint further charges Yang, Luca International, Luca Resources Group, and Luca Energy Fund with violating Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder. [read post]
