Posts tagged with: "206" Results 1281 - 1300 of 4,967
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15 Mar 2019, 12:26 pm by Mark Astarita
”The settled orders find that Talimco and Rogers violated Section 206(2) of the Investment Advisers Act. [read post]
15 Mar 2019, 12:11 pm by Lindsay Griffiths
David Ellenhorn Email: dellenhorn@omwlaw.com Telephone: +1 (206) 447-7000 Practice Groups: Business; Business Formation; Commercial Transaction; Corporations & Emerging Businesses; Estate Planning and Personal; Hospitality; Mergers and Acquisitions; Real Estate; Technology Connect with David on LinkedIn Jessica Jensen Email: jjensen@omwlaw.com Telephone: +1 (206) 447-7000 Practice Groups: Commercial Litigation; Complex Litigation; General Litigation;… [read post]
13 Mar 2019, 9:50 am by Tom Zagorsky
  OCIE’s Risk Alert is essentially a “best practices” guide for advisers in that it relies on the results of a limited-scope examination initiative designed to survey to what extent advisers have been successful in meeting their record retention obligations under Advisers Act Rule 204-2 (the Books and Records Rule) and their obligation to implement and design policies and procedures under Advisers Act Rule 206(4)-7 (the Compliance Rule). [read post]
11 Mar 2019, 3:00 am by Doug Cornelius
She agreed that the SEC should tread carefully when bringing enforcement actions against compliance personnel and should not pursue enforcement actions based on strict liability for CCOs under Rule 206(4)-7. [read post]
8 Mar 2019, 9:28 am by Anthony Gaughan
His blood pressure readings in 1944 averaged 206/118 and often reached as high as 240/130. [read post]
6 Mar 2019, 9:03 am by Kevin Kaufman
Following the state’s general practice, 70 percent of that, $206 million, would go to the state, with the remainder split among counties and cities. [read post]
2 Mar 2019, 3:50 pm by Richard Symmes
If you are in need of stopping an upcoming foreclosure sale, give Symmes Law Group a call at 206-682-7975 to get the counsel you need and learn about your options. [read post]
2 Mar 2019, 3:50 pm by Richard Symmes
If you are in need of stopping an upcoming foreclosure sale, give Symmes Law Group a call at 206-682-7975 to get the counsel you need and learn about your options. [read post]
28 Feb 2019, 12:33 pm by Jennifer Davis
She was the first black woman to actively recruit troops (Bearden and Butler, 206). [read post]
26 Feb 2019, 9:53 pm by Kevin O'Keefe
(Email or text/call, 206-321-3617) I’ll be there Wednesday through Saturday afternoon. [read post]
24 Feb 2019, 10:23 am by Eric Goldman
§§ 206 and 207 authorize his claims against the Federal Defendants, but, as discussed above, these provisions clearly do not apply to federal agencies. [read post]
22 Feb 2019, 10:29 am by Craig Foster
Virginia’s new legislation adds a “confectionery license” to the permitted categories of Alcohol Beverage Control (“ABC”) licensing under Virginia Code section 4.1-206. [read post]
21 Feb 2019, 8:40 am by John Elwood
John Elwood reviews Tuesday’s relists. [read post]