Posts tagged with: "206"
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18 Sep 2018, 6:00 am
The SEC found that VSS violated section 206(4) for failing to state a material fact, making the May letter misleading. [read post]
23 Sep 2014, 7:00 am
” The SEC is quick to point out that a violation of 206(2) can be based on a finding of simple negligence. [read post]
20 Oct 2010, 5:00 am
The SEC brought claims under 10(b) of the Exchange Act, 206 (1) of the Advisers Act, and 206 (2) of the Advisers Act. [read post]
3 Feb 2012, 5:58 pm
See 625 ILCS 5/6-206(a)(36). [read post]
29 Jun 2016, 7:16 am
That requirement was tucked into the release for Rule 206(4)-7. [read post]
19 Apr 2022, 3:15 am
See 625 ILCS 5/6-206(a)(29). [read post]
20 May 2016, 7:10 am
See CA Penal Code § 206. [read post]
3 Jan 2010, 7:42 am
Superior Court, 206 Cal. [read post]
7 Aug 2019, 6:30 pm
The complaint also alleges that Commonwealth violated Section 206(4) and rule 206(4)-7 because it failed to adopt and implement policies and procedures reasonably designed to ensure that Commonwealth identified and disclosed these conflicts of interest. [read post]
6 Jan 2016, 3:48 am
The SEC issued an order instituted an administrative proceeding alleging violations of Advisers Act Sections 206(2) and 206(4). [read post]
1 Oct 2014, 2:51 pm
Rule 206(4)-5 prohibits investment advisors from receiving compensation for providing their services to government pension plan clients when those advisors (or certain covered executives) have made campaign contributions above minimal thresholds to “covered officials” who have the ability to influence the award of public investment advisory contracts. [read post]
27 Apr 2015, 5:00 am
It’s an easy one to miss in Rule 206(4)-7. [read post]
19 Dec 2012, 11:45 am
Without admitting or denying the charges, FAMCO agreed to be censured and to cease and desist from committing or causing any violations of Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8, and Section 34(b) of the Investment Company Act of 1940. [read post]
1 Jul 2021, 6:00 am
Paris, who was the firm’s chief compliance officer, executed this “cherry-picking scheme” in violation of several federal securities laws including Sections 17(a)(1), 17(a)(2) and 17(a)(3) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act (“Exchange Act”) and Rules 10b-5(a), 10b-5(b) and 10b-5(c) thereunder; and Sections 206(1) and 206(2) of the Investment Advisers Act (“Advisers Act”). [read post]
5 Dec 2016, 4:00 am
… Combat Sports LawLegal Hurdles To Licence Kelvin Gastelum for UFC 206 Today the UFC announced that Kelvin Gastelum is scheduled to fight Tim Kennedy at UFC 206 in Toronto. [read post]
20 Sep 2019, 7:31 pm
The following products are subject to the voluntary recall: Affected Product Product Name Roland® Black Caviar Whole Grain Lumpfish Roland® Black Caviar Whole Grain Lumpfish Roland® Black Caviar Whole Grain Lumpfish Roland® Black Caviar Whole Grain Lumpfish Item # 20002 20004 20020 20040 Batch # 206 J018803, J019622, J020834 226 223 Pack Size 2×48/2 oz 48/2 oz 2×24/3.5 oz 12X12 oz UPC #s Item UPC 41224200029 41224200029 41224200203 41224200401 Outside… [read post]
12 Mar 2010, 12:36 pm
The tree illustrated in the photograph above is located on Route 206 near the intersection with Lover's Lane (in Marquand Park) and was a victim of one of our February 2010 snowstorms (Feb. 10-11). [read post]
2 Apr 2015, 4:10 am
Einkommen von Richtern an obersten Gerichten Richter an obersten Gerichten erzielen bei Karriereende im Durchschnitt folgende Brutto-Einkommen pro Jahr: Deutschland: EUR 104’711 (EUR 73’679) Österreich: EUR 119’771 (73’679) Schweiz: EUR 294’565 (EUR 264’000) Die Brutto-Einkommen von schweizerischen Richtern sind europaweit am höchsten, selbst Richter in England und Wales verdienen mit EUR 256’206 deutlich weniger. [read post]
29 Sep 2015, 6:10 am
The court of appeals first looked at Section 1-206 of the Maryland Estates and Trusts Article, which applied to this case because the child was born during the marriage. [read post]
10 Sep 2021, 2:00 am
One group of the entities was also found to have violated Section 206(4) of the Advisers Act and Rule 206(4)-7, by allegedly providing misleading information in its breach notification to customers. [read post]
