Posts tagged with: "206"
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12 May 2016, 3:54 am
Call Shaw Family Law, P.C. at 630-206-3300 to secure the financial assistance you need to take care of yourself and your children. [read post]
9 Nov 2015, 5:53 am
Godbolt (Burglary in first degree; harassment in second degree; carrying dangerous weapon; disorderly conduct; possession of drug paraphernalia; "The defendant, Karon Godbolt, appeals from the judgment of conviction, rendered after a jury trial, of three counts of burglary in the first degree in violation of General Statutes § 53a-101 (a) (1), (2), and (3); one count of harassment in the second degree in violation of General Statutes § 53a-183 (a) (3); one count of carrying a… [read post]
7 Sep 2012, 7:38 pm
A second conviction while under the age of 21 is a mandatory revocation as provided by statute. 625 ILCS 5/6-205(a)(13) A youthful offender may also be suspended for a conviction due to a violation of Liquor Control Act of 1934 or similar local ordinance. 625 ILCS 5/6-206(a)(38). [read post]
31 Oct 2007, 8:28 pm
Oct. 24, 2007), the Court of Appeals for the Fourth Circuit reversed, finding that Sec. 206 was not invalid. [read post]
4 Nov 2011, 4:49 pm
Rule 206(4)-8 applies to every investment adviser, whether or not registered, and imposes a strict liability fiduciary standard on information that is provided to investors and potential investors. [read post]
10 Aug 2010, 12:16 am
Thurmond, 481 S.W.2d at 206. [read post]
17 Feb 2012, 9:45 am
In accordance with 625 ILCS 5/6-206(a)(43), if you receive court supervision for such a charge, your driver's license will be suspended for a period of 3 months. [read post]
22 Aug 2016, 6:47 am
Proposition 206 also would mandate that all Arizona employers provide paid sick leave benefits. [read post]
25 Aug 2023, 7:20 am
Without admitting or denying the SEC charges, in addition to the $35 million penalty, Wells Fargo consented to the entry of the Commission’s order finding that the firm violated Sections 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-7 and agreed to a cease-and-desist order and censure. [read post]
24 May 2016, 8:40 am
Pursuant to Section 206 of the Advisers Act and Rule 206(4)-1, it is considered fraudulent for a registered investment adviser to publish, circulate, or distribute any advertisement which contains any untrue statement of material fact or which is false or misleading. [read post]
26 Oct 2012, 11:07 am
Por tanto, no le aplica la prohibición absoluta de desarrollo contemplada por la Ley Núm. 206, según enmendada, supra. [read post]
19 Sep 2013, 9:20 am
Stastney has consented to the issuance of the order without admitting or denying any of the findings and has agreed to cease and desist from committing or causing any violations and any future violations of Sections 206(2) and 206(3) of the Investment Advisers Act of 1940. [read post]
2 Oct 2015, 2:32 am
To say that WGAC “alone provides 206 options” might suggest that achieving legal compliance is a snap — look, there are 206 options to comply, just pick one. [read post]
10 Jun 2024, 9:01 pm
In addition, the Fifth Circuit’s interpretation of the scope of Section 206(4) may have implications for other rulemaking adopted by the SEC in reliance on Section 206(4) in the past and may constrain the ability of the SEC to adopt certain regulatory measures in the future. [read post]
20 Mar 2012, 6:41 pm
" McAndrew, 206 F.3d at 1034. [read post]
15 May 2024, 11:44 am
The SEC’s order reportedly concludes that Hudson Valley and its founder violated the antifraud provisions of Sections 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder and agreed to cease-and-desist orders and censures. [read post]
17 Jan 2017, 7:48 am
In mitigation, the SEC noted that the firm had reimbursed clients for certain principal transactions that did not comply with Section 206(3). [read post]
17 Jan 2017, 7:48 am
In mitigation, the SEC noted that the firm had reimbursed clients for certain principal transactions that did not comply with Section 206(3). [read post]
28 Jun 2016, 6:00 am
The SEC charged Apex with causing ClearPath and EquityStar’s violations of Section 206(2) of the Investment Advisers Act of 1940, which prohibits any investment adviser from engaging in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client, and Section 206(4) and Rule 206(4)-8 thereunder, which make it unlawful for any investment adviser to a pooled vehicle to make any untrue statement of a material… [read post]
11 Mar 2015, 4:00 am
See 1993 Proceedings of the Uniform Law Conference of Canada, Appendix G, pages 34-35, 198 – 206. [read post]
