""Securities and Exchange Commission""

EFTA00032901Dataset 8

2020-03-305p2,251w

Subject: Citing COVID-19, SEC Eases More Filing Requirements

From: Securities Law360 <newsgi3law360.com>

…2020 Follow Securities Law360 TOP NEWS V,Law360 Practice Groups of the Citing COVID-19, SEC Eases More Filing Requirements Year The U.S. Securities and Exchange Commission has further extended its guidance and relief to companies grappling with the fallout from the spread of the novel coronavirus, temporarily easing certain compliance requirements for corporations, municipal advisers and crowdfunded groups. Read full article » YRC Slips Investor Suit Alleging It Overcharged DOD YRC Worldwide escaped a proposed securities class action Friday…

https://www.justice.gov/epstein/files/DataSet%208/EFTA00032901.pdf

EFTA01365223Dataset 10

1p297w

SECURITIES AND EXCHANGE COMMISSION, ANY STATE SECURITIES REGULATORY AUTHORITY OR ANY OTHER U.S. REGULATORY AUTHORITY HAS APPROVED OR DISAPPROVED THE SECURITIES OR PASSED UPON OR ENDORSED THE MERITS OF THIS OFFERING CIRCULAR. ANY REPRESENTATION TO THE CONTRARY IS A CRIMINAL OFFENSE. NONE OF THE INITIAL PURCHASER, THE PLACEMENT AGENT. THE COLLATERAL MANAGER, THE TRUSTEE. THE COLLATERAL ADMINISTRATOR. THE SHARE TRUSTEE OR THE ADMINISTRATOR ASSUMES ANY RESPONSIBILITY FOR THE PERFORMANCE OF ANY OBLIGATIONS OF THE CO-ISSUERS OR ANY OTHER…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365223.pdf

EFTA01116426Dataset 9

20p5,753w

SECURITIES AND EXCHANGE COMMISSION [Rel. No. IA-1092J Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services. ACTION: Statement of staff interpretive position. SUMMARY: The Commission is publishing the views of the staff of the Division of Investment Management on the applicability of the Investment Advisers Act of 1940 to financial planners and other persons who provide investment advice as a component of…

https://www.justice.gov/epstein/files/DataSet%209/EFTA01116426.pdf

EFTA01360932Dataset 10

2013-05-291p331w

…Southern failed to promptly give notice to the Commission and others of the net capital deficiencies as required by law; and that. the reports filed by Southern were inaccurate in that they misrepresented Southern's cash position and failed to include certain liabilities. SEC - SEC Violations (Insider Trading. Securities Fraud) ACT - Disciplinary, Regulatory Action 02/15Q005, Named in the civil action entitled Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01360932.pdf

EFTA01358156Dataset 10

2013-05-291p332w

…failed to promptly give notice to the Commission and others of the net capital deficiencies as required by law; and that. the reports filed by Southern were inaccurate in that they misrepresented Southern's cash position and failed to include certain liabilities. SEC - SEC Violations (Insider Trading. Securities Fraud) ACT - Disciplinary, Regulatory Action 02/15/2005, Named in the civil action entitled Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358156.pdf

EFTA01358164Dataset 10

2013-05-291p329w

…failed to promptly give notice to the Commission and others of the net capital deficiencies as required by law; and that. the reports filed by Southern were inaccurate in that they misrepresented Southern's cash position and failed to include certain liabilities. SEC - SEC Violations (Insider Trading. Securities Fraud) ACT - Disciplinary, Regulatory Action 02/15/2005, Named in the civil action entitled Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358164.pdf

EFTA01358162Dataset 10

2005-03-091p211w

…failed to promptly give notice to the Commission and others of the net capital deficiencies as required by law, and that, the reports filed by Southern were inaccurate in that they misrepresented Southern's cash position and failed to include certain liabilities. • SEC - SEC Violations (Insider Trading. Securities Fraud) ACT - Disciplinary. Regulatory Action 02/15/2005, Named in the civil action entitled Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358162.pdf

EFTA01404439Dataset 10

2013-05-2915p3,093w

…to promptly give notice to the Commission and others of the net capital deficiencies as required by law; and that, the reports filed by Southern were inaccurate in that they misrepresented Southern's cash position and failed to include certain liabilities. • SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 02/15/2005, Named in the civil action entitled Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F. Hunter…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01404439.pdf

EFTA02683695Dataset 11

2008-12-3116p6,957w

SECURITIES SUBSCRIPTION AGREEMENT THESE SECURITIES HAVE NOT BEEN REGISTERED WITH THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "ACT"), OR THE SECURITIES COMMISSION OF ANY STATE UNDER ANY STATE SECURITIES LAW. THEY ARE BEING OFFERED PURSUANT TO AN EXEMPTION FROM REGISTRATION UNDER REGULATION D ("REGULATION D") PROMULGATED UNDER THE ACT. THE SECURITIES MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED UNLESS THE SECURITIES ARE REGISTERED UNDER THE ACT AND APPLICABLE STATE SECURITIES…

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02683695.pdf

EFTA01120583Dataset 9

42p13,508w

…$1,500,000 (the "Offering"); WHEREAS, in connection with the Offering, the Company and the Buyer are executing and delivering this Agreement in reliance upon an exemption from securities registration pursuant to Section 4(2) and/or Rule 506 of Regulation D ("Regulation D") as promulgated by the U.S. Securities and Exchange Commission (the "SEC") under the Securities Act of 1933, as amended (the "Securities Act"); WHEREAS, the parties desire that, upon the terms and subject to the conditions…

https://www.justice.gov/epstein/files/DataSet%209/EFTA01120583.pdf

EFTA01390996Dataset 10

1p539w

…iCapital Securities") Affiliated Broker-Dealer. Institutional Capital Network, Inc., the parent company of iCapital, is the sole member of iCapital Securities. iCapital Securities is a broker-dealer registered with the Securities and Exchange Commission ("SEC"). and a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). iCapital Securities is also registered as a limited purpose broker-dealer with those state securities authorities where it services clients and is not otherwise exempt from such registration. iCapital Securities acts as a broker…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390996.pdf

EFTA01389176Dataset 10

1p540w

…iCapital Securities") Affiliated Broker-Dealer. Institutional Capital Network, Inc., the parent company of iCapital, is the sole member of iCapital Securities. iCapital Securities is a broker-dealer registered with the Securities and Exchange Commission ("SEC"). and a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). iCapital Securities is also registered as a limited purpose broker-dealer with those state securities authorities where it services clients and is not otherwise exempt from such registration. iCapital Securities acts as a broker…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389176.pdf

EFTA01386508Dataset 10

1p539w

…iCapital Securities") Affiliated Broker-Dealer. Institutional Capital Network, Inc., the parent company of iCapital, is the sole member of iCapital Securities. iCapital Securities is a broker-dealer registered with the Securities and Exchange Commission ("SEC"). and a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). iCapital Securities is also registered as a limited purpose broker-dealer with those state securities authorities where it services clients and is not otherwise exempt from such registration. iCapital Securities acts as a broker…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386508.pdf

EFTA01382898Dataset 10

1p539w

…iCapital Securities") Affiliated Broker-Dealer. Institutional Capital Network, Inc., the parent company of iCapital, is the sole member of iCapital Securities. iCapital Securities is a broker-dealer registered with the Securities and Exchange Commission ("SEC"). and a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). iCapital Securities is also registered as a limited purpose broker-dealer with those state securities authorities where it services clients and is not otherwise exempt from such registration. iCapital Securities acts as a broker…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01382898.pdf

EFTA01391295Dataset 10

1p538w

…iCapital Securities") Affiliated Broker-Dealer. Institutional Capital Network, Inc., the parent company of iCapital, is the sole member of iCapital Securities. iCapital Securities is a broker-dealer registered with the Securities and Exchange Commission ("SEC"). and a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). iCapital Securities is also registered as a limited purpose broker-dealer with those state securities authorities where it services clients and is not otherwise exempt from such registration. iCapital Securities acts as a broker…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391295.pdf

EFTA01393787Dataset 10

1p539w

…iCapital Securities") Affiliated Broker-Dealer. Institutional Capital Network, Inc., the parent company of iCapital, is the sole member of iCapital Securities. iCapital Securities is a broker-dealer registered with the Securities and Exchange Commission ("SEC"). and a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). iCapital Securities is also registered as a limited purpose broker-dealer with those state securities authorities where it services clients and is not otherwise exempt from such registration. iCapital Securities acts as a broker…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393787.pdf

EFTA01353741Dataset 10

1p539w

…iCapital Securities") Affiliated Broker-Dealer. Institutional Capital Network, Inc., the parent company of iCapital, is the sole member of iCapital Securities. iCapital Securities is a broker-dealer registered with the Securities and Exchange Commission ("SEC"). and a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). iCapital Securities is also registered as a limited purpose broker-dealer with those state securities authorities where it services clients and is not otherwise exempt from such registration. iCapital Securities acts as a broker…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353741.pdf

EFTA01354945Dataset 10

1p540w

…iCapital Securities") Affiliated Broker-Dealer. Institutional Capital Network, Inc., the parent company of iCapital, is the sole member of iCapital Securities. iCapital Securities is a broker-dealer registered with the Securities and Exchange Commission ("SEC"). and a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). iCapital Securities is also registered as a limited purpose broker-dealer with those state securities authorities where it services clients and is not otherwise exempt from such registration. iCapital Securities acts as a broker…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354945.pdf

EFTA01391919Dataset 10

1p538w

…iCapital Securities") Affiliated Broker-Dealer. Institutional Capital Network, Inc., the parent company of iCapital, is the sole member of iCapital Securities. iCapital Securities is a broker-dealer registered with the Securities and Exchange Commission ("SEC"). and a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). iCapital Securities is also registered as a limited purpose broker-dealer with those state securities authorities where it services clients and is not otherwise exempt from such registration. iCapital Securities acts as a broker…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391919.pdf

EFTA01392274Dataset 10

1p538w

…iCapital Securities") Affiliated Broker-Dealer. Institutional Capital Network, Inc., the parent company of iCapital, is the sole member of iCapital Securities. iCapital Securities is a broker-dealer registered with the Securities and Exchange Commission ("SEC"). and a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). iCapital Securities is also registered as a limited purpose broker-dealer with those state securities authorities where it services clients and is not otherwise exempt from such registration. iCapital Securities acts as a broker…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392274.pdf