Search for: "INVESTORS DOES 1-10"
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21 Jun 2010, 11:57 am
” The SEC’s draft proxy access rule calls for a sliding ownership threshold for investor groups that ranges from 1 to 5 percent depending on a firm's market cap, and would impose a one-year holding period. [read post]
28 Dec 2015, 6:35 am
The bonus credits add an additional 1% to 5% to the premium payments. [read post]
31 Oct 2016, 10:55 pm
When considering investing in an MLP, investors should search EDGAR to access an MLP’s prospectus (Form 424) and annual (Form 10-K) and quarterly (Form 10-Q) financial reports. [read post]
21 Nov 2016, 11:47 am
To see our Investor Bulletin on How to Read a 10-K, click here. [read post]
1 Mar 2023, 12:27 pm
My broker told me that in the last 12 years, all we ever lost is one year 1%. [read post]
22 Jun 2010, 5:03 pm
In general, the applicant must invest a minimum $1 million into a new commercial enterprise that will or does employ 10 full-time U.S. citizens or green card holders. [read post]
11 Oct 2017, 11:37 pm
Here are some of them:1. [read post]
17 Jan 2010, 3:48 am
If the investment exceeds 15%, as it often does, the investors are required to make an open offer under the Takeover Regulations. [read post]
27 Jun 2013, 5:00 am
” 1 U.S.C. [read post]
1 Sep 2016, 12:00 am
Moving forward, given that Florida’s lis pendens statute does not operate to discharge liens that accrue during this “limbo” time period, many real estate investors may elect to place lower bids at a judicial sale or even avoid participating in the foreclosure process altogether. [read post]
14 Mar 2012, 7:36 am
He highlighted a recent study that shows hedge funds are leveraged, on average, at only 2.34:1 and noted that on a long-term, aggregate basis, hedge funds have outperformed 10-year US Treasury notes, the S&P 500, and STOXX 600 since the end of 2003. [read post]
8 Jun 2017, 10:32 am
These Reg D private placements are then typically sold by brokerage firms in exchange for a large up front commission, usually between 7-10%, as well as additional “due diligence fees” that can range from 1-3%. [read post]
20 Aug 2007, 8:47 am
Going even further, the SEC once held that a graduate business degree from Harvard does not establish that a customer is a sophisticated investor. [read post]
16 Jan 2018, 6:56 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
31 Jul 2015, 1:54 am
Consider the following, as reported here and here:1. [read post]
15 Feb 2010, 11:58 am
The two ways to pursue that: (1) get a strong investor relations (IR) firm in to start selling your company’s story to Wall Street, and oh yeah, make sure you are keeping the promises you make about expectations and performance, or (2) do a two-step WRASP type approach to going public (see prior posts for more info on WRASPs) where a Form 10 merger and PIPE is followed by an immediate registration and application to the NYSE AMEX or Nasdaq where, in either case,… [read post]
19 Jun 2015, 8:58 am
An issuer may, if he chooses, file a draft Form 1-A confidentially with the SEC (if, for example, the issuer is unsure of whether there will be enough investor interest, and so wants to, for the moment, avoid the potential embarrassment of filing it publicly only to have to later cancel or terminate the offering.)As under the original Regulation A, a Tier 1 Regulation A+ offering is not limited to any specified number of investors, nor are there are any… [read post]
20 Feb 2011, 10:53 am
Insufficient jobs are being created to cover EB-5 investment project investors (minimum of 10 U.S. worker jobs each). [read post]
24 Jan 2019, 7:00 am
Within the SME category, a small enterprise is defined as an enterprise which employs fewer than 50 persons and whose annual turnover and/or annual balance sheet total does not exceed EUR 10 million. [read post]
28 Aug 2017, 3:00 am
It does this by matching local originating lenders with a national capital market. [read post]
