Posts tagged with: "206"
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25 Nov 2014, 12:44 pm
For more information, contact Professor Eang Ngov: engov[@]barry.edu, office (321) 206 -5677, cell phone (571) 643-2691 [read post]
24 Nov 2014, 6:00 am
But the case is an example of the problem with the Rule 206(4)-5. [read post]
21 Nov 2014, 4:24 am
The states with the highest numbers of reports were California (556, or about 15% of all reports); Florida (264); Texas (208); and New York (206). [read post]
21 Nov 2014, 2:46 am
While the "essential function" of the trade mark in Europe is "to guarantee the identity of origin of the marked goods or services to the consumer or end user by enabling him, without any possibility of confusion, to distinguish the goods or services from others which have another origin" (Case C-206/01 Arsenal v Reed)the protection is given not to the consumer but to the trade mark owner as guarantor of the identity of the origin of the marked goods. [read post]
20 Nov 2014, 10:41 am
If you have additional questions regarding private student loans in Washington State, give Symmes Law Group a call at 206-682-7975 to learn about your options. [read post]
18 Nov 2014, 8:46 am
By Ben Keane and Stefan Passantino Late last week, the Financial Industry Regulatory Authority (FINRA) quietly posted a new regulatory notice proposing a series of pay-to-play type rules for its broker-dealer members that closely track the pay-to-play provisions set forth by the Securities and Exchange Commission (SEC) in Rule 206(4)-5. [read post]
18 Nov 2014, 8:46 am
Late last week, the Financial Industry Regulatory Authority (FINRA) quietly posted a new regulatory notice proposing a series of pay-to-play type rules for its broker-dealer members that closely track the pay-to-play provisions set forth by the Securities and Exchange Commission (SEC) in Rule 206(4)-5. [read post]
17 Nov 2014, 12:27 pm
We are going to discuss SEC Rule 206(4)5, MSRB Rule G-37, CFTC business conduct rules, anticipated developments in the law, ongoing litigation, as well as recommended compliance programs. [read post]
16 Nov 2014, 7:30 pm
If you have additional questions regarding reaffirmation agreements, give Symmes Law Group a call at 206-682-7975 to learn about your options. [read post]
13 Nov 2014, 9:30 pm
Ernst & Victor Jew (Praeger, 2002), 185-206 Not available for download, but here's the abstract:This article argues that World War II had a profound effect on the relationship between courts and the administrative state in the United States. [read post]
11 Nov 2014, 2:48 pm
Related blog posts: Illinois Corporations Can Be Deposed; Illinois Supreme Court Rule 206(a)(1) Taking the Guess Work Out of Jury Trials – Focus Groups Jury Selection’s Twists, Turns and Attitudes [read post]
10 Nov 2014, 5:00 pm
Reading the decision of the panel, which is 206 pages long, leaves one with the impression that there is nothing the U.S. could do either to win this argument or to change its labeling to comply with what the WTO is requiring. [read post]
9 Nov 2014, 6:46 pm
(Pix (c) Larry Catá Backer 2014) Since 2010, I have been posting on the development of a new course I have been developing for our first year law school students, "Elements of Law. [read post]
7 Nov 2014, 10:14 am
On October 29, 2014, the Securities and Exchange Commission’s (“SEC”) Enforcement Division, in an Order Instituting Administrative and Cease-And-Desist Proceedings (“Order”), alleged that Sands Brothers Asset Management, LLC (“Sands Brothers”), its co-founders Steven Sands and Martin Sands, and its Chief Compliance Officer and Chief Operating Officer Christopher Kelly, violated Section 206(4) of the Investment Advisers Act of 1940, which prohibits a… [read post]
6 Nov 2014, 7:30 am
The advertising limits under Rule 206(4)-1 limit the use of any communications “which refers, directly or indirectly, to any testimonial of any kind concerning the investment adviser or concerning any advice, anaylsis, report or other service rendered by such investment adviser. [read post]
6 Nov 2014, 7:30 am
The advertising limits under Rule 206(4)-1 limit the use of any communications “which refers, directly or indirectly, to any testimonial of any kind concerning the investment adviser or concerning any advice, anaylsis, report or other service rendered by such investment adviser. [read post]
5 Nov 2014, 1:47 pm
L. 106-206 were modeled. [read post]
5 Nov 2014, 3:50 am
ThorleyAnnual Review of Law and Social Science, Vol. 10: 53-72.Abstract | Full Text | PDF (206 KB)Interviewing ChildrenThomas D LyonAnnual Review of Law and Social Science, Vol. 10: 73-89.Abstract | Full Text | PDF (132 KB)Law and Society in Brazil at the Crossroads: A ReviewJosé Reinaldo de Lima Lopes and Roberto Freitas FilhoAnnual Review of Law and Social Science, Vol. 10: 91-103.Abstract | Full Text | PDF (122… [read post]
3 Nov 2014, 10:31 am
Related blog posts: Illinois Appellate Court Finds That Rental Car Companies Must Be Treated No Differently Than Any Other Self-Insured Entity Illinois Attorneys Have a Duty in Wrongful-Death Actions to Decedent’s Beneficiaries Illinois Corporations Can Be Deposed; Illinois Supreme Court Rule 206(a)(1) [read post]
3 Nov 2014, 5:42 am
Since it’s a 206 violation, the SEC does not have to allege intent to defraud or investor harm. [read post]
