Search for: "Portfolio Investment Exchange, Inc."
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5 Jul 2023, 12:52 pm
Broker-dealers may face various regulatory actions from FINRA and the Securities and Exchange Commission, including censures, fines, suspensions, and restitution. [read post]
4 Jul 2023, 12:05 pm
This exchange between Rep. [read post]
27 Jun 2023, 9:01 pm
Section 14(a) of the Exchange Act[42] should not be read in a manner that allows the Commission to abrogate the role of state corporate law regarding the conduct of shareholder meetings, including any requirements or conditions on a shareholder’s ability to add a proposal to the meeting agenda. [read post]
16 Jun 2023, 2:24 am
They don’t trade on a public exchange like traditional stocks. [read post]
9 Jun 2023, 8:36 am
” An exclusive deal is a conditional-pricing practice in which a firm and a buyer sign a contract specifying that 100% of the buyer’s purchases will be made from a specific seller, usually in exchange for a discount on the per-unit price. [read post]
9 Jun 2023, 8:36 am
” An exclusive deal is a conditional-pricing practice in which a firm and a buyer sign a contract specifying that 100% of the buyer’s purchases will be made from a specific seller, usually in exchange for a discount on the per-unit price. [read post]
17 May 2023, 11:30 am
MML Investors Services Inc. [read post]
14 May 2023, 9:01 pm
The case arose out of a 2022 stock-for-stock transaction in which the Company acquired a portfolio company of Apollo Global Management, Inc. [read post]
11 May 2023, 11:29 am
Apple Inc., 952 F. [read post]
11 May 2023, 9:26 am
Apple Inc., 952 F. [read post]
20 Apr 2023, 1:20 pm
On February 9, 2023, the Security and Exchange Commission (“SEC”) charged Payward Ventures, Inc. and Payward Trading Ltd. [read post]
19 Apr 2023, 6:19 am
In December 2022, Insight Securities Inc. [read post]
10 Apr 2023, 11:49 am
The claim further alleges investment losses in Healthcare Trust Inc and Franklin BSP Lending Corp. [read post]
24 Mar 2023, 6:07 am
About DISCO CS Disco, Inc. [read post]
6 Mar 2023, 9:01 pm
Ideas such as the efficient market hypothesis and modern portfolio theory were not the widely accepted theories that they are today. [read post]
24 Feb 2023, 2:00 pm
Securities and Exchange Commission (SEC) charged the Church of Latter-day Saints for obscuring its investment portfolio and failing to disclose a multi-billion dollar investment fund. [read post]
22 Feb 2023, 1:07 pm
Patent TPLF funds generally promise roughly 20% internal rates of return to funders (IRR) year-over-year, or about a 2x to 2.5x return on investment over generally four- or five-year investment cycles, suggesting, at least at the pitch level, that these investments are lucrative for the funders.[15] The biggest (or at least most well-known) players—Magnetar Capital, Burford Capital, Fortress Investment Group, Omni Bridgeway, and Curiam Capital, to name… [read post]
22 Feb 2023, 4:00 am
SEC Release 2023-35 summarizes the SEC's findings and the sanctions imposed:The Securities and Exchange Commission today announced charges against Ensign Peak Advisers Inc., a non-profit entity operated by The Church of Jesus Christ of Latter-day Saints to manage the Church’s investments, for failing to file forms that would have disclosed the Church’s equity investments, and for instead filing forms for shell companies that obscured… [read post]
13 Feb 2023, 5:59 am
(“Chicago Pacific”), which controlled P3, as a portfolio company, along with Sameer Mathur, one of Chicago Pacific’s principals who oversaw Chicago Pacific’s investment in P3. [read post]
2 Feb 2023, 12:22 pm
The pair claimed they were investing in a diversified portfolio when in reality only a small fraction of the investor money was used for productive investment. [read post]
