Posts tagged with: "206"
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1 May 2015, 9:37 am
§ 240.10b-5, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (the “Advisers Act”), 15 U.S.C. [read post]
2 Dec 2011, 6:56 am
In other words, Section 206(d)(1) does not prevent pension plan assets from being used to satisfy a judicial judgment against the plan itself. [read post]
5 Mar 2018, 12:52 pm
To date, 742 cases were reported in 2017, and 206 cases in 2018. [read post]
26 Nov 2013, 5:56 pm
O 206-340-8204 | M 206-321-3627 | E kevin@lexblog.com Follow @kevinokeefe | LinkedIn | Real Lawyers Have Blogs lexblog.com | lxbn.com What do you think? [read post]
10 Aug 2015, 5:00 am
Gallagher, Statement on Recent SEC Settlements Charging Chief Compliance Officers With Violations of Investment Advisers Act Rule 206(4)-7 (June 18, 2015), available at http://www.sec.gov/news/statement/sec-cco-settlements-iaa-rule-206-4-7.html (last accessed July 7, 2015). [read post]
21 Feb 2014, 5:52 am
., willfully violated Section 10(b) of the Securities Exchange Act of 1934, Section 17(a) of the Securities Act of 1933, and Rule 10b-5, and Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8. [read post]
17 Nov 2011, 5:26 pm
It has, however, agreed to a cease and desist from future violations of both acts and Rule 206(4)-7 thereunder. [read post]
3 Feb 2012, 5:58 pm
See 625 ILCS 5/6-206(a)(36). [read post]
8 Apr 2014, 10:46 am
For more information about Travel Services and its new Virtuoso travel offerings, call (206) 935 – 1021 or visit www.TVL-Services.com Media Contact: Public Relations Department Travel Services (206) 935 – 1021 Media@TVL-Services.com www.TVL-Services.com [read post]
18 Jan 2009, 1:56 pm
Note - folks are leaving messages on my office phone (1-206-346-1890). [read post]
4 Jan 2016, 1:58 pm
Those provisions, although modeled closely on Securities and Exchange Commission (SEC) Rule 206(4)-5, included unique compensation disgorgement and disclosure elements that drew the attention of many in the regulated community. [read post]
4 Jun 2009, 8:00 am
The Commission sanctioned Infotech for willfully violating Section 206 and Rule 206(4)-6, apparently for failing to have in place policies designed to vote shares in the best interest of their clients. [read post]
22 Mar 2020, 3:00 pm
A: The Division would not recommend enforcement action for a violation of rule 206(4)-2 against an adviser that is relying on rule 206(4)-2(b)(4) and that reasonably believed that the pool’s audited financial statements would be distributed within the 120-day deadline, but failed to have them distributed in time under certain unforeseeable circumstances. [read post]
24 Mar 2009, 4:00 am
If you a registered investment adviser, you are subject to Rule 206(4)-1: a. [read post]
9 May 2016, 8:27 am
The SEC’s complaint charges Blazer with violations of Sections 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and Section 206(1) and 206(2) of the Investment Advisers Act of 1940. [read post]
13 Jun 2012, 8:55 am
Formal Enforcement Actions: 2006-2011 Civil Money Penalties: 2006-2011 Year FDIC FRB OCC OTS* Total Year FDIC FRB OCC OTS* Total 2011 752 151 184 159 1246 2011 206 6 27 50 289 2010 767 280 250 227 1524 2010 211 3 54 50 318 2009 510 191 188 206 1095 2009 156 8 30 26 220 2008 225 54 150 58 487 2008 101 5 30 11 147 2007 181 34 111 44 370 2007 95 11 59 5 170 2006 200 28 139 54 421 2006 89 7 68 10 174 *On July 21, 2011, supervisory responsibility for federal… [read post]
5 Sep 2010, 7:55 am
(Id. at 181, 206.) [read post]
7 Aug 2024, 4:42 am
., LLC v DeSimone, 206 AD3d 920, 926). [read post]
20 Sep 2024, 5:00 am
Legends / JMI Rights Holders, on behalf of Notre Dame, was compensated for this Endorsement, as such term is defined under SEC Rule 206(4)-1. [read post]
20 Dec 2008, 11:42 pm
Full text of the Article in PDF Format (Adobe Reader required) [read post]
