Posts tagged with: "206"
Results 761 - 780
of 4,923
Sorted by Relevance
|
Sort by Date
15 Aug 2016, 12:29 pm
The Enforcement Division further alleges that Eden Arc Capital Management violated Section 206(4) of the Advisers Act and Rule 206(4)-2, and Lathen aided and abetted and caused those violations.The matter will be scheduled for a public hearing before an administrative law judge, who will prepare an initial decision stating what, if any, remedial actions are appropriate.The SEC’s investigation was conducted by Janna Berke, Judith Weinstock, Frank Milewski, Adam Grace,… [read post]
29 Apr 2016, 9:14 am
Ourand, who was later found by an administrative law judge to have misappropriated funds from client accounts in violation of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. [read post]
22 May 2013, 10:35 am
On its surface, Rule 206(4)-5, which bars investment advisors from managing public investment funds in jurisdictions where their political contributions or the contributions of their “covered associates” exceed $150 per election to elected officials who directly or indirectly oversee such funds, seems well suited to this task. [read post]
26 Jun 2015, 6:27 am
As a bit of a history lesson, Rule 206(4)-5 became effective way back in September 13, 2010 and included the third-party solicitor ban. [read post]
3 Aug 2020, 5:33 pm
Pet Cemetery, 206 AD2d 827, 828). [read post]
2 Jan 2013, 10:33 am
Wikipedia page for the 206 countries of the world. [read post]
4 May 2016, 8:09 am
Vaccaro is additionally charged with violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. [read post]
26 Jun 2015, 6:27 am
As a bit of a history lesson, Rule 206(4)-5 became effective way back in September 13, 2010 and included the third-party solicitor ban. [read post]
12 Sep 2014, 12:02 pm
The SEC alleged that Robare violated Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act), which make it unlawful for an investment adviser to defraud or engage in a practice that would operate as a fraud upon any client. [read post]
4 Jan 2016, 1:58 pm
Those provisions, although modeled closely on Securities and Exchange Commission (SEC) Rule 206(4)-5, included unique compensation disgorgement and disclosure elements that drew the attention of many in the regulated community. [read post]
6 May 2016, 10:22 am
The SEC’s complaint charges Blazer with violations of Sections 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and Section 206(1) and 206(2) of the Investment Advisers Act of 1940. [read post]
27 Jun 2015, 5:43 am
Investment Advisers Act Section 206(4) and Rule 206(4)-2 thereunder (the so-called custody rule), require registered investment advisers with custody of client funds or securities to implement certain controls designed to protect those client assets from loss, misappropriation, misuse, or the adviser’s insolvency. [read post]
8 May 2023, 11:36 am
The Commission found that CAM and Schmitz violated Section 206(2) of the Investment Advisers Act and that CAM also violated the Act's compliance provision in Rule 206(4)-7. [read post]
25 Aug 2016, 9:02 am
”Without admitting or denying the findings, the 13 investment advisers consented to the entry of orders finding that they violated Sections 204 and 206(4) of the Investment Advisers Act of 1940 and Rules 204-2(a)(16) and 206(4)-1(a)(5).The SEC’s investigations have been conducted by Robert Baker, William Donahue, John Farinacci, Jeffrey Finnell, Corey Schuster, Naomi Sevilla, Rory Alex, Marc Jones, Alicia Reed, and Sonia Torrico. [read post]
17 Jun 2008, 5:10 am
Send us an email at hullandhull@gmail.com, call us on the comment line at 206-457-1985, or leave us a comment on the Hull on Estate and Succession Planning blog. [read post]
10 Mar 2008, 10:00 pm
Leave us a message on our comment line at 206-350-6636, send us an email at hull.lawyers@gmail.com or you can post a comment on our blog at [estatelaw.hullandhull.com]. [read post]
8 Jul 2008, 5:15 am
Before we get into the formal part of our podcast, let’s just remind our listeners of our call-in line which is 206-457-1985.Ian Hull: And of course, e-mail us at hullandhull@gmail.com, and if you want to get some access to the show notes and other things, go to estatelaw.hullandhull.com. [read post]
1 Apr 2008, 1:48 pm
Send us an email at hull.lawyers@gmail.com, call us on the comment line on 206-350-6636, or drop us a line on the Hull on Estates blog. [read post]
13 Apr 2011, 5:00 am
” Keep in mind that even if the communications falls outside the definition of “advertisement” and the limitations of Rule 206(4)-1, it is still subject to the anti-fraud provision of Section 206. [read post]
28 Feb 2011, 5:54 am
Campbell (Assault in the first degree in violation of § 53a-59 (a) (1) and carrying a dangerous weapon, namely, a switchblade knife, in violation of § 53-206 (a); "The defendant appealed from the judgment of conviction to the Appellate Court, claiming that the trial court improperly denied his request to instruct the jury that his conduct would fall into an implied exception to § 53-206 if the jury found that the conduct occurred in his place of abode. [read post]
