Posts tagged with: "206"
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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]
27 Dec 2011, 8:15 am
It has been reported that the Bell 206 usually has an older engine which is no longer in use. [read post]
9 Dec 2010, 1:50 am
Food safety legislation inched forward Wednesday as the House passed the Senate version of the bill as part of a larger resolution to fund the federal government for the next several months.The bill, which passed the House 212-206 with 35 Democrats joining Republicans to vote "no," must now be re-approved by the Senate. [read post]
7 Nov 2011, 6:52 pm
(House Report 112-206) [read post]
6 Jun 2011, 5:00 am
overcharged advisory clients for commissions and other transactional fees in violation of Section 206(2) of the Advisers Act failed to satisfy the disclosure and consent requirements of Section 206(3) of the Advisers Act when WSI engaged in principal trades with advisory clients; failed to adopt, implement and review written policies and procedures as required by Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder; and failed to establish, maintain,… [read post]
15 Aug 2007, 12:53 am
NEW RULE 206(4)-8 Section 206(4) of the IAA, which makes it unlawful for an investment adviser to engage in any act or practice that is fraudulent or deceptive, authorizes the SEC to adopt rules that are reasonably designed to prevent fraud by advisers. [read post]
23 Jul 2014, 7:49 pm
(collectively referred to as the "City") move for summary judgment declaring Section 206 of Chapter 83 of the Laws of 1995 ("Section 206") unconstitutional and enjoining its enforcement. [read post]
16 Mar 2010, 6:59 am
By Doug Weiner In a recently reported case, Applebee’s’ servers alleged they spent a “substantial” amount of time performing non-tipped work, such as cleaning and maintenance, and should be paid the minimum wage 29 U.S.C § 206(A)(1)(c) of $7.25 rather than the direct wage 29 U.S.C. [read post]
8 Jan 2010, 10:02 am
WEEK OF 1/11 Monday 1/11 Tuesday 1/12 Wednesday 1/13 Thursday 1/14 Friday 1/15 XXXX 12:10 - 1:00 - Basement lab 12:10 - 1:00 - Rm 205** XXXX 12:10 - 1:00 - Rm 242** XXXX 2:10 - 3:00 - Room 206** 1:10 - 2:00 - Rm 205** XXXX 1:10 - 2:00 - Basement lab WEEK OF 1/18 Monday 1/18 - MLK Day Tuesday 1/19 Wednesday … [read post]
9 Apr 2024, 6:30 am
In yesterday’s settlements, the advisers settled anti-fraud charges (Sections 206(2) and 206(4) of the Advisers Act), violations of the Marketing Rule (Rule 206(4)-1), and policy violations (Rule 206(4)-7). [read post]
9 Apr 2024, 6:30 am
In yesterday’s settlements, the advisers settled anti-fraud charges (Sections 206(2) and 206(4) of the Advisers Act), violations of the Marketing Rule (Rule 206(4)-1), and policy violations (Rule 206(4)-7). [read post]
18 Apr 2024, 6:30 am
” Finding violations of the Investment Advisers Act rules governing marketing and compliance policies and procedures (Sections 206(2) and 206(4) and Rules 206(4)-1 and 206(4)-7 thereunder), the settled orders imposed civil penalties against Delphia and Global Predictions of $225,000 and $175,000, respectively. [read post]
18 Apr 2024, 6:30 am
” Finding violations of the Investment Advisers Act rules governing marketing and compliance policies and procedures (Sections 206(2) and 206(4) and Rules 206(4)-1 and 206(4)-7 thereunder), the settled orders imposed civil penalties against Delphia and Global Predictions of $225,000 and $175,000, respectively. [read post]
7 Oct 2016, 8:35 am
The SEC Enforcement Division alleges that Balter violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, Section 17(a) of the Securities Act of 1933, Sections 206(1), 206(2), 206(4) and 207 of the Investment Advisers Act of 1940 and Rule 206(4)-8, and Sections 13(a) and 34(b) of the Investment Company Act of 1940. [read post]
18 Aug 2015, 11:29 am
The Citigroup affiliates consented to settle without admitting or denying the findings that they willfully violated Sections 17(a)(2) and (3) of the Securities Act of 1933, GCMI willfully violated Section 206(2) of the Investment Advisers Act of 1940, and CAI willfully violated Section 206(4) of the Advisers Act and Rules 206(4)-7 and 206(4)-8. [read post]
24 May 2022, 5:00 am
The SEC found that BNYMIA violated Sections 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rules 206(4)-7 and 206(4)-8, and Section 34(b) of the Investment Company Act. [read post]
15 Jun 2016, 8:08 am
The SEC’s complaint against Plaford charges him with violations of Section 10(b) of the Exchange Act and Rule 10b-5, and Section 206 of the Advisers Act and Rule 206(4)-8. [read post]
16 Feb 2023, 8:35 am
Rule 223-1 improves upon Rule 206(4)-2 and the 2009 amendments by:Expanding the current custody rule to protect a broader array of client assets and advisory activities. [read post]
1 Apr 2016, 11:08 am
The SEC first tangled with such a free-speech “speed trap” in litigation with the New York and Tennessee Republican Parties, who sought declaratory and injunctive relief invalidating and enjoining the Commission from enforcing Rule 206(4)-5. [read post]
5 Jan 2018, 9:17 am
” Set forth in ARS 13-206, Entrapment is one type of affirmative defense. [read post]
