Posts tagged with: "206"
Results 521 - 540
of 4,920
Sorted by Relevance
|
Sort by Date
16 Mar 2010, 3:04 pm
Phelps, 580 F.3d 206 (4th Cir. 2009). [read post]
9 Mar 2023, 12:07 pm
As a result of its alleged breach, Ericsson agreed to pay an additional criminal penalty of approximately $206 million, which includes the elimination of a 15% cooperation credit the company received under the 2019 DPA. [read post]
4 Oct 2019, 9:46 am
We previously wrote about California Senate Bill 206, the “Fair Pay to Play Act,” back in April, and now Gov. [read post]
29 Apr 2021, 10:57 am
Rule 206(4)-1 under the Investment Advisers Act, known as the “Marketing Rule,” becomes effective on May 4, 2021. [read post]
14 Jul 2019, 5:00 pm
A model QDRO is a template domestic relations order designed to satisfy all of the statutory requirements of ERISA Section 206(d) and Internal Revenue Code Section 414(p). [read post]
9 Apr 2010, 3:00 am
Ulrich, 206 S.W.3d 419 (Tenn. [read post]
24 Jan 2011, 9:21 am
Thus, SIFMA urged the SEC not to apply the trade-by-trade disclosure and consent requirements of Section 206(3) to principal transactions that are subject to the uniform standard of care where the broker or investment adviser does not have discretionary authority regarding the customer account. [read post]
13 Jan 2022, 8:21 am
The American Bar Association has proposed new "Diversity, Equity, and Inclusion" rules for law schools: Standard 206. [read post]
21 Dec 2017, 6:00 am
Original Application of PNC SEC Order for PNC BlackRock Amended Application for Relief under 206(4)-5 Compliance and the Presidential Candidates Rule 206(4)-5 [read post]
24 Nov 2020, 11:30 am
Under Rule 206(4)-7, advisers are required to undertake an annual review. [read post]
2 Feb 2011, 3:23 pm
On February 1, 2010, the Michigan Supreme Court authorized the Wayne County Circuit Court to go ahead with its five year pilot e-filing project. [read post]
1 Jun 2016, 9:15 am
” The SEC’s order finds that Blackstreet violated Section 15(a) of the Securities Exchange Act of 1934, and Sections 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rules 206(4)-7 and 206(4)-8. [read post]
2 Jun 2016, 11:20 am
The SEC’s complaint charges Davis with violations of Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 as well as Sections 5 and 17(a) of the Securities Act of 1933, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8. [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]
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]
22 Dec 2015, 8:55 am
Morgan Stanley willfully violated Section 17(a)(3) of the Securities Act and Sections 206(2) and 206(4) of the Advisers Act as well as Rule 206(4)-7. [read post]
22 Aug 2019, 6:56 am
On August 13, 2019, the SEC filed a complaint against Stuart Frost and Frost Management Company, LLC for violating the antifraud provisions of Sections 206(1)-(2) and 206(4) of the Investment Advisers Act. [read post]
2 Sep 2008, 7:35 pm
” At least 206 persons are sick as a result of the outbreak including 149 adults, 53 children, and four whose ages have not yet been confirmed. [read post]
3 Jul 2021, 4:44 pm
Convocar una Constituyente a pesar que el artículo 206 no lo permita y sin modificar el 206. [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]
