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20 Jan 2012, 3:34 pm
”[3] As with the previous August 2011 order, the Indiana Securities Division has included language to indicate that this order is temporary, until the Securities Division decides on a more permanent approach. [read post]
11 Jul 2014, 12:33 pm
Information Security Pursuant to the Federal Information Security Management Act of 2002 (“FISMA”), each agency Inspector General must annually evaluate the agency’s information security program. [read post]
22 Nov 2017, 7:42 am
Continue reading The post FINRA Orders Restitution In First Allied Securities Mutual Fund Sales Charge AWC appeared first on Investor Lawyers Blog. [read post]
5 Feb 2023, 5:42 am
The post UK dispatch: Bar Council announces necessary Treasury funding secured to bridge gap between prosecution and defence fees appeared first on JURIST - News. [read post]
30 Jan 2024, 2:00 pm
" The post DOJ Investigating Squad Member Cori Bush for Allegedly Misusing Security Funds first appeared on Le·gal In·sur·rec·tion. [read post]
2 Mar 2022, 12:35 pm
Continue Reading › The post Investor Files Claim Against FSC Securities Over FS Energy and Power Fund & Northstar Healthcare REIT Losses appeared first on Investor Lawyers Blog. [read post]
15 Nov 2021, 3:53 pm
From Davis Polk: On September 29, 2021, the Securities and Exchange Commission (SEC) proposed amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds (ETFs), and other... [[ This is a content summary only. [read post]
13 Apr 2010, 7:37 am
Securities Litigation (No. [read post]
28 Nov 2012, 1:04 pm
The fund’s asset portfolio consisted primarily of corporate debt securities... [read post]
15 Feb 2011, 9:55 am
Now both parties have come together to slash funding for border security and the timing could not be worse. [read post]
27 Jun 2019, 6:26 am
Unlike all other companies, mutual funds, closed-end funds, hedge funds and private equity funds have their own special securities regulatory regime in the form of the Investment Company Act of 1940. [read post]
30 Jun 2010, 1:49 pm
If the fund does not meet both parts of the test, the fund will not be an “institutional buyer” and the fund manager would not be excluded from the definition of investment adviser and would need to register as such with the Massachussetts Securities Division. [read post]
21 Aug 2018, 1:52 pm
Barnett Allegedly Invests Client Funds in Speculative Securities appeared first on Securities Arbitration Lawyers Blog. [read post]
19 Apr 2012, 3:41 pm
Previously, I reported that the Massachusetts Securities Division had proposed an exemption from investment adviser registration for advisers to private funds. [read post]
10 Nov 2009, 1:11 pm
Ralph Cioffi and Matthew Tannin, two former Bear Stearns hedge fund managers, were found not guilty of all federal securities fraud charges today in Manhattan. [read post]
3 Jun 2012, 8:51 am
Here is the abstract: At present, the only type of security open-end mutual funds can issue is common stock. [read post]
28 May 2009, 1:01 pm
NASAA today endorsed proposed bipartisan legislation that would require hedge fund advisers to register with the Securities and Exchange Commission under the Investment Advisers Act of 1940. [read post]
17 Jan 2023, 12:57 pm
Instead, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) promulgated joint reporting requirements specifically for advisers of hedge funds and other private funds. [read post]
19 Sep 2005, 11:37 am
[JURIST] Leading Monday's corporations and securities law news, the US Government Accountability Office (GAO) [official website] has released a report urging the Securities and Exchange Commission [official website] (SEC) to improve its oversight of the mutual funds industry. [read post]
4 Nov 2020, 8:23 am
The Social Security trust funds, both the retirement and disability funds, rely on funding through Social Security taxes, but since the pandemic began unemployment has increased resulting in less people paying Social Security taxes, but the Social Security disability trust fund has increased since the first quarter of 2019 when it was more than $96.5 million. [read post]
