Posts tagged with: "206"
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21 Apr 2015, 10:21 am
On April 20, 2015, the Securities and Exchange Commission (“SEC”) issued an order against an investment advisory firm and its former chief compliance officer, for violating Sections 206(2) and 206(4) and rule 206(4)-7 of the Investment Advisers Act and rule 38a-1 of the Investment Company Act. [read post]
26 Jul 2018, 6:41 am
Section 206(4) generally prohibits investment advisers from engaging in fraudulent, deceptive or manipulative conduct, and Rule 206(4)-1 (the “Advertising Rule”) prohibits registered investment advisers from using false or misleading advertisements. [read post]
13 Jan 2011, 11:22 am
Under Rule 206(3)-3T, an adviser is allowed to comply with Section 206(3) of the Advisers Act by, among other things: • Providing written prospective disclosure about principal trade conflicts. [read post]
21 Dec 2022, 3:00 am
El estándar 206(b) es un requisito para la acreditación de la escuela. [read post]
5 Apr 2011, 3:47 pm
Defense Infrastructure: The Navy Needs Better Documentation to Support Its Proposed Military Treatment Facilities on Guam, GAO-11-206, Apr 5, 2011... [read post]
8 Oct 2021, 11:02 am
The crisis however continues, since Evergrande’s biggest rival, Fantasia, announced to miss the $206-million bond payment deadline. [read post]
14 Jul 2022, 11:00 am
No encontró que se configurara un menoscabo de obligaciones contractuales con la aprobación de la Ley 206-2014. [read post]
24 Feb 2009, 3:12 pm
Older Workers: Enhanced Communication among Federal Agencies Could Improve Strategies for Hiring and Retaining Experienced Workers, GAO-09-206, February 24, 2009... [read post]
22 Dec 2008, 1:33 am
Last week's term was words of procreation, which is defined as: Language used to leave property to a person and his or her descendants, which typically take the form "to A, and the heirs of his body," where A is the person receiving the property.No one guessed this time around.Today's term is:irresistible impulse test.As always, no dictionaries, please. [read post]
12 Jan 2010, 12:34 pm
Professor Neal Fortin will be presenting a seminar, "Why Food Laws Matter," in room 206 Trout FSHN building, Michigan State University, Tuesday, January 19 at 12:40-1:30 PM. [read post]
31 Dec 1969, 4:00 pm
Historically, Sections 205[1] and 206[2] of the Federal Power Act (“FPA”) have been viewed as authorizing the Federal Energy Regulatory Commission (“FERC” or the “Commission”) to order refunds when a rate has been suspended and placed in effect subject to refund pursuant to Section 205 or a refund effective date has been established pursuant to Section 206. [read post]
25 Jan 2010, 4:14 pm
Monday, 2/8: Room 206 from 5:10 p.m. to 6:00 p.m. [read post]
5 Feb 2021, 6:04 am
On December 22, 2020, the Securities and Exchange Commission (the “SEC”) adopted amendments to modernize and consolidate Rule 206(4)-1 (“Advertising Rule”) and Rule 206(4)-3 (“Solicitation Rule”) under the Investment Advisers Act of 1940 (“Advisers Act”). [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]
17 Apr 2014, 5:50 am
Dennis Wall hosts this week's roundup of risky posts. [read post]
30 Jun 2010, 7:36 pm
Investment Advisers Act Rule 206 (4)-5 Today the SEC approved new Rule 206 (4)-5 under the Investment Advisers Act of 1940 which prohibits investment advisers from making political contributions in certain situations. [read post]
5 Apr 2009, 8:38 pm
Craig Williams hosts Blawg Review #206 on Tartan Day, and promises to wear a tartan kilt to his law offices this week. [read post]
24 Feb 2010, 7:17 am
Courtesy WENN & Korcula document.getElementById("post-206-blankimage").onload(); [read post]
28 Feb 2007, 1:40 pm
Andreas School of Law 6441 East Colonial Drive Orlando, FL 32807 Phone - (321) 206-5705 Fax - (321) 206-5715 Cell - (407) 925-7030 E-Mail - jwest@mail.barry.edu -----Original Message----- From: teknoids-bounces@ruckus.law.cornell.edu [mailto:teknoids-bounces@ruckus.law.cornell.edu] On Behalf Of teknoids-request@ruckus.law.cornell.edu Sent: Wednesday, February 28, 2007 4:26 PM To: teknoids@ruckus.law.cornell.edu Subject: Teknoids Digest, Vol 18, Issue 55 Send Teknoids mailing… [read post]
6 Mar 2007, 12:10 pm
Andreas School of Law 6441 East Colonial Drive Orlando, FL 32807 Phone - (321) 206-5705 Fax - (321) 206-5715 Cell - (407) 925-7030 E-Mail - jwest@mail.barry.edu -----Original Message----- From: teknoids-bounces@ruckus.law.cornell.edu [mailto:teknoids-bounces@ruckus.law.cornell.edu] On Behalf Of teknoids-request@ruckus.law.cornell.edu Sent: Tuesday, March 06, 2007 1:42 PM To: teknoids@ruckus.law.cornell.edu Subject: Teknoids Digest, Vol 19, Issue 13 Send Teknoids mailing list… [read post]
