Search for: "Security Funding Company "
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19 May 2005, 3:09 pm
[JURIST] Three hedge-fund managers must pay $2.4M to settle charges that the companies used illegal stock trading tactics to profit off 22 other companies. [read post]
21 Jan 2014, 9:00 am
The role of a funding portal is to facilitate a crowdfunded transaction involving a sale from the issuer (the company raising capital) to the investor. [read post]
9 Nov 2022, 11:31 am
The Fund’s investment strategy reportedly involves investments in securities issued by foreign entities, which exposes investors to risks not typically associated with investing in U.S. securities. [read post]
19 Jan 2007, 3:59 am
The leap into hedge funds by Richard C. [read post]
25 Mar 2010, 3:15 pm
The SEC staff is conducting a review to evaluate the use of derivatives by mutual funds, exchange-traded funds (ETFs) and other investment companies. [read post]
2 Jan 2019, 8:58 am
The website will not be managed or updated until after funding is restored. [read post]
21 Jul 2013, 10:00 pm
The company did so despite former senior executives knowing that the agent intended to use the funds to “entertain” Nigerian officials involved in resolving Parker Drilling’s ongoing customs problems. [read post]
14 Apr 2020, 10:04 am
According to SEC filings, the company filed a Form D to raise capital from investors for the offering of the SQN Special Opportunity Fund LLC. [read post]
13 Apr 2020, 8:28 am
Griffin Capital Company reportedly operates as an investment and asset management company. [read post]
21 Dec 2022, 6:03 am
Non-exempt activities would include many of the sine qua non of a broker-dealer, such as maintaining custody of or transmitting funds or securities to be exchanged by parties to a transaction involving an eligible privately held company. [read post]
9 Mar 2022, 3:45 am
On February 9, 2022, the Securities and Exchange Commission (SEC) issued a new proposed rule that would overhaul the cybersecurity regulations for registered investment advisers, registered investment companies, and funds. [read post]
30 Sep 2021, 2:08 pm
“By securing private funding we can continue this mission with clients as our primary focus rather than delivering a short-term return to investors. [read post]
14 Jan 2016, 11:27 am
The Fund invests at least 80% of its net assets plus borrowings used for investment purposes in gold and securities of companies located throughout the world that are engaged in mining or processing gold (“Gold Related Securities”). [read post]
8 Jul 2009, 2:39 pm
Treasury and Fed Name Lucky Hedge Fund Managers The Treasury and the Fed just announced the hedge fund management companies which will be participating in the first round of the PPIP. [read post]
7 Jun 2013, 10:09 am
” 2 “Investment adviser” means, generally, any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities. 3 “Qualifying investments” means (i) an “equity security” issued by a “qualifying portfolio company” that has been acquired directly… [read post]
29 Apr 2010, 11:26 am
Mutual fund companies have traditionally argued that they are exempt from the whistleblower protections of the Sarbanes-Oxley Act (“SOX”) because the funds themselves do not have any employees. [read post]
14 Sep 2009, 2:49 am
(a) In General- Section 103(b) of the Employee Retirement Income Security Act of 1974 (29 U.S.C. 1023(b)) is amended– (1) in paragraph (3)(C), by striking `value;’ and inserting `value, including, in the case of a defined benefit pension plan, a separate schedule identifying each hedge fund (as defined in paragraph 5) in which amounts held for investment under the plan are invested as of the end of the plan year covered by the annual report and the amount so… [read post]
12 Aug 2020, 5:07 am
The company was founded in 2009 and is headquartered in Austin, Texas. [read post]
13 Dec 2006, 5:05 am
Federal regulators sued a hedge fund manager in Dallas on Tuesday, accusing him of making more than $6.5 million through illegal trading involving "naked" short sales of dozens of companies. [read post]
30 Aug 2005, 12:11 pm
[JURIST] Leading Tuesday's corporations and securities law news, the Arizona Attorney General's office [official website] has announced that $101 million it seized earlier this year may belong to failed hedge fund company Bayou Management. [read post]
