Posts tagged with: "206"
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30 Jun 2022, 10:25 am
It also found that UBS violated SEC Rule 206(4)-7. [read post]
30 Jan 2017, 7:38 am
This resulted in the firms’ violation of Rule 206(4)-5. [read post]
12 May 2024, 1:19 pm
An express or implied agreement to carry on an enterprise (805 ILCS 206/202), (Ambuul v. [read post]
30 Jan 2017, 7:38 am
This resulted in the firms’ violation of Rule 206(4)-5. [read post]
8 Oct 2012, 9:46 am
SEC’s complaint alleges that GEI Financial, Goldstein, and Gatherum directly and indirectly violated Sections 204, 204A, 206(1), 206(2), and 206(4) of the Advisers Act and Rules 204-1, 204A-1, 204-2, 204-3, 206(4)-7, and 206(4)-8(a)(1) thereunder. [read post]
8 Dec 2016, 8:36 am
But it does not look like his activities should be considered soliciting investments under Rule 206(4)-5. [read post]
12 Feb 2024, 4:00 am
., Rule 206(4)-1(a)(1) and Rule 206(4)-1(a)(6)) if it showed only Net IRR that includes the impact of fund-level subscription facilities without including either (i) comparable performance (e.g., Net IRR without the impact of fund-level subscription facilities) or (ii) appropriate disclosures describing the impact of such subscription facilities on the net performance shown. [read post]
28 Sep 2023, 12:16 pm
The SEC alleges that these actions violated various sections of the Advisers Act, including Sections 206(2) and 206(4), and Rule 206(4)-7. [read post]
8 Jun 2011, 9:58 am
For more information, see the full policy statement from the WUTC website or contact any of the Seattle-based Stoel Rives energy attorneys listed below: David Hattery at (206) 386-7528 or dphattery@stoel.com Graham Noyes at (206) 386-7615 or jgnoyes@stoel.com Hania Younis at (206) 386-7519 or hyounis@stoel.com [read post]
17 Jun 2016, 9:01 am
The SEC’s Complaint alleged the following causes of action: fraud in connection with the purchase or sale of securities in violation of Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 thereunder; fraud in connection with the sale of unregistered securities in violation of Section 5 of the Securities Act; and the fraud by an investment adviser for conducting business that is fraudulent, deceptive, or manipulative in violation of Sections 206(1), 206(2),… [read post]
25 Apr 2011, 5:00 am
Section 206 of the Investment Advisers Act prohibits fraud, deception or manipulation, regardless of whether the fund manager is registered. [read post]
5 May 2010, 5:11 pm
Kim Risenmay at (206) 386-7525 or gkrisenmay@stoel.com Carl Lewis at (206) 386-7688 or cslewis@stoel.com Erin Toland at (206) 386-7563 or emtoland@stoel.com Pursuant to this program, participating light and power companies may make incentive payments to customers who purchase and use renewable energy systems, and the light and power companies then receive offsetting tax credits against their Washington Public Utility Tax liabilities. [read post]
21 May 2012, 5:00 am
Section 206 prohibits actions would operate as a fraud or deceit on a client. [read post]
17 Jun 2016, 9:01 am
The SEC’s Complaint alleged the following causes of action: fraud in connection with the purchase or sale of securities in violation of Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 thereunder; fraud in connection with the sale of unregistered securities in violation of Section 5 of the Securities Act; and the fraud by an investment adviser for conducting business that is fraudulent, deceptive, or manipulative in violation of Sections 206(1), 206(2),… [read post]
30 Aug 2021, 8:11 am
Here are some of the developments in antitrust news this past week that we found interesting and are following. [read post]
2 Apr 2012, 5:00 pm
Posted by Jack Daugherty April 3, 2012 Over the weekend, I attended the 8th Annual International Asbestos Awareness Conference, hosted by the Asbestos Disease Awareness Organization in Los Angeles. [read post]
8 Mar 2017, 4:00 am
Each Wednesday we tell you which three English-language cases and which French-language case have been the most viewed* on CanLII and we give you a small sense of what the cases are about. [read post]
29 Aug 2016, 1:47 pm
Anthony Weiner has gotten caught sexting again. [read post]
27 Mar 2017, 1:05 pm
The annual Consumer Electronics Show is filled with new and proposed products that will fill the shelves of your local electronics shop (or online store) in the next six to 12 months. [read post]
6 Feb 2009, 3:23 pm
Merix lays off 230 Allis-Chalmers to slice 235 jobs 100 jobs cut at Owatonna plant 7-Eleven to cut 200 jobs Posted in Layoffs Tagged: Layoffs, unemployemtn [read post]
