Posts tagged with: "206"
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3 Jan 2021, 10:00 pm
Investment advisers’ advertising and solicitation practices, and the media through which investment advisers communicate with clients and investors, have evolved considerably since the US Securities and Exchange Commission (SEC) adopted Rule 206(4)-1 (the Advertising Rule) in 1961 and Rule 206(4)-3 (the Cash Solicitation Rule) in 1979. [read post]
3 Jan 2021, 10:00 pm
Investment advisers’ advertising and solicitation practices, and the media through which investment advisers communicate with clients and investors, have evolved considerably since the US Securities and Exchange Commission (SEC) adopted Rule 206(4)-1 (the Advertising Rule) in 1961 and Rule 206(4)-3 (the Cash Solicitation Rule) in 1979. [read post]
3 Jan 2021, 10:00 pm
Investment advisers’ advertising and solicitation practices, and the media through which investment advisers communicate with clients and investors, have evolved considerably since the US Securities and Exchange Commission (SEC) adopted Rule 206(4)-1 (the Advertising Rule) in 1961 and Rule 206(4)-3 (the Cash Solicitation Rule) in 1979. [read post]
6 Feb 2015, 5:33 am
We have been following for some time the legal challenge brought by various political parties to the SEC’s pay-to-play Rule 206(4)-5. [read post]
6 Feb 2015, 5:33 am
We have been following for some time the legal challenge brought by various political parties to the SEC’s pay-to-play Rule 206(4)-5. [read post]
20 Sep 2011, 9:00 pm
. **** Rule 206(4)-2 –Custody of Funds or Securities of Clients by Investment Advisers a. [read post]
12 Dec 2006, 10:13 pm
Judge James Robertson of the D.C. federal district court ruled that the United States' currency was unconstitutional. [read post]
19 Sep 2013, 7:58 am
Summary of Decision September 13, 2013Justice Voigt delivered the opinion for the Court. [read post]
13 Jul 2011, 1:56 pm
U.S. [read post]
30 Sep 2013, 12:48 pm
QUIRKY QUESTION – NLRB Quirky Question #206: I discovered one of my employees announced on Facebook that our company is a horrible place to work and she is just “coasting” and waiting to be fired. [read post]
16 Sep 2009, 2:16 pm
For more information, contact Stephanie Olmsted at 206. 660.4594 or go to www.waffp.org. [read post]
22 Nov 2021, 12:31 pm
Here is the revised rule: Standard 206. [read post]
4 Mar 2018, 5:40 am
The Voya adviser affiliates agreed to be censured and consented to the entry of the SEC’s order finding that they willfully violated Sections 206(2) and 206(4) of the Investment Advisers Act of 1940, and Rule 206(4)-8. [read post]
13 Sep 2016, 5:00 am
I was looking through an issue under Rule 206(4)-5. [read post]
7 Jan 2013, 10:47 am
On December 20, 2012, the SEC amended Temporary Rule 206(3)-3T under the Investment Advisers Act of 1940 that establishes an alternative means for investment advisers who are registered as broker-dealers to meet the requirements of Section 206(3) of the Investment Advisers Act when they act in a principal capacity in transactions with certain advisory clients. [read post]
2 Jan 2010, 11:14 pm
From Costa Rica, here's your weekly list of good posts from the past week by law students, some current or almost current, some recently-graduated-- Circus Harley and the pug. [read post]
11 Apr 2014, 10:00 am
Dennis Wall hosts next week's Cav. [read post]
13 Sep 2012, 5:40 am
Mar 2, 2012 A second SBA informational meeting is scheduled for today, Wednesday,March 7 at 12 noon in room 206. [read post]
22 Aug 2018, 2:46 pm
., YINC DA 17-0306 2018 MT 206 Civil – Dependent Neglect [read post]
22 Apr 2016, 8:27 am
, HuffPost Impact Blog, 4/11/206. [read post]
