Posts tagged with: "206"
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14 Jun 2012, 11:00 am
Written by: Jay Gould and Peter Chess On July 1, 2010, the Securities and Exchange Commission (the “SEC”) adopted Rule 206(4)-5 under the Investment Advisers Act of 1940, as amended, which prohibited an investment adviser from providing advisory services for compensation to a government client for two years after the advisers or certain of its executives or employees make a contribution to certain elected officials or candidates. [read post]
7 Feb 2022, 3:00 am
That could violate Section 206(1) and section 206(2) of the Advisers Act. [read post]
20 Oct 2010, 8:07 am
The SEC's complaint charges these men with "violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. [read post]
21 May 2008, 4:46 pm
" [60 M.J.] at 206. [read post]
22 Nov 2016, 11:16 am
Marler, please contact Colleen McMahon (colleen@quinnbrein.com), Samantha Jones (sam@quinnbrein.com), or call (206) 842-8922. [read post]
26 Nov 2018, 7:42 am
” I found two rules to be the most applicable to private fund managers on the list: 206(4)-8 Prohibition of fraud by advisers to certain pooled investment vehicles. 206(4)-2 Custody Rule The applicability of fraud to investors rule is a bit a remnant from the SEC trying to breach the old small adviser exception to registration. [read post]
6 Nov 2019, 9:00 am
The proposed rule would replace Rule 206(4)-1, first adopted in 1961. [read post]
5 Feb 2009, 4:44 am
See, §§ 206(a)(2)(A) and 1631(d)(2)(A) of the Act, as amended by the Omnibus Budget Reconciliation Act (OBRA) of 1990, Public Law No. 101–508, § 5106. [read post]
7 Feb 2013, 5:20 am
The SEC also found violations under the anti-fraud provisions of the Investment Advisers Act, Section 206(4) and Rule 206(4)-8. [read post]
13 Feb 2013, 6:25 am
§ 206), maximum hours and overtime compensation (29 U.S.C. [read post]
8 Dec 2016, 6:36 am
In 2015, Sawco sold the 42,995 square feet building and the land on the property (85,533 square feet) to 206 Wallace St. [read post]
10 Oct 2011, 9:36 am
Sachau, supra, 206 N.J. at 6-8. [read post]
3 Feb 2017, 12:36 pm
The Defendants actions violated several antifraud statutes and SEC rules, including Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b- 5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (“Advisers Act”). [read post]
15 Jan 2021, 1:45 am
The Property The property under development is a 3.4 acre lot located at 150, 200, and 206 Inlet Way in Palm Beach Shores. [read post]
3 Feb 2017, 12:36 pm
The Defendants actions violated several antifraud statutes and SEC rules, including Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b- 5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (“Advisers Act”). [read post]
17 Jun 2014, 9:26 am
The order finds that Weir caused Paradigm’s violations of Section 206(3) of the Advisers Act. [read post]
9 Feb 2007, 11:45 am
Contact: Cathy Capizzi (412) 206-0005 x207 ccapizzi@sherpasoftware.com Mentions: Sherpa Software Group, L.P. - web site | Socha Consulting listing [read post]
19 Jan 2011, 5:00 am
One major difference between this draft of Rule G-42 and SEC Rule 206(4)-5 is the definition of de minimis political contribution. [read post]
18 Jun 2024, 1:29 pm
[Advisers Act Rule 206(4)-1 Release No. [read post]
Conviction for felony offense involving a motor vehicle will suspend your Illinois driver’s license.
5 Oct 2010, 6:21 am
See 625 ILCS 5/6-206(a)(29). [read post]
