Search for: "Principal Global Investors, LLC"
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16 May 2011, 9:47 am
The website for his firm, TL Gilliams LLC, (tlgilliams.com/) says the trader works with a "team" to analyze deals but offers few details. [read post]
23 May 2008, 5:15 am
From 1970 to 2006, he served as Chairman, Chief Executive Officer andPresident of Grey Global Group, Inc., a multi-billion dollar global advertising and marketing agency. [read post]
7 Apr 2022, 3:17 pm
Out of 95 global banks that responded to a Moody’s Investors Service survey, about two-thirds said they notified their boards of directors about a cyber event during the 12-month period that ended in April 2021. [read post]
9 Sep 2011, 6:00 am
Using an LLC? [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
30 Sep 2018, 5:16 pm
The SEC principally enforces this anti-fraud provision under Rule 10b-5, which specifically states: Section 240.10b-5 Employment of manipulative and deceptive devices. [read post]
8 Nov 2021, 6:15 pm
Such spouses are not legally authorized to work in the United States until they have received a valid employment authorization document (work permit) from USCIS, despite the principal investor receiving their E-2 visa approval. [read post]
16 Apr 2018, 4:48 pm
The DAO 21(a) Report With respect to ICOs, the critical area of inquiry for the SEC is whether investors were relying on the managerial efforts of others. [read post]
12 Mar 2018, 12:42 am
What precisely renders an event material has plagued securities lawyers for years and has been the subject of countless judicial decisions, SEC enforcement actions, law review articles, law firm guidance and the like – but can be effectively summed up as any important development or event that “a reasonable investor would consider important to an investment decision. [read post]
6 May 2014, 4:26 pm
Highlighting one area of the problem, SEC Commissioner Luis Aguilar cited a 2012 global survey that found that 53 percent of securities exchanges had experienced a cyber-attack in the previous year. [read post]
3 Nov 2022, 11:00 pm
In some circumstances, foreign investors even have tax benefits (compared to local investors) for trading credits that are documented in the form of securities. [read post]
10 Oct 2018, 12:40 pm
What precisely renders an event material has plagued securities lawyers for years and has been the subject of countless judicial decisions, SEC enforcement actions, law review articles, law firm guidance and the like – but can be effectively summed up as any important development or event that “a reasonable investor would consider important to an investment decision. [read post]
24 Jan 2019, 2:36 pm
By vigorously enforcing these laws, the enforcement division furthers the SEC’s efforts to deter, detect, and punish wrongdoing in the financial markets, compensate harmed investors, and maintain investor confidence in the integrity and fairness of our markets. [read post]
11 May 2023, 9:01 pm
In the last couple of decades, certain market participants, including principal trading firms (PTFs), started participating significantly in the Treasury markets. [read post]
21 Jun 2021, 7:54 pm
employee is a nonresident corporate director (or a non-principal LLC manager) and is compensated for his management work as wages – as long as he only participates remotely (though don’t confuse this with profit distributions to nonresident owners, which is addressed in a separate article). [read post]
31 Oct 2018, 2:20 pm
National Bank as Indenture Trustee and Special Servicers, GSS Data Service, Inc. as Administrator, Wilmington Trust Company as Owner Trustee, bond-insurer Ambac, and investors in the bonds issued by the Trusts. [read post]
28 Dec 2023, 9:05 pm
Frederique Welgryn, Perrigo’s Global Vice President for Women’s Health, called FDA’s approval “a groundbreaking expansion for women’s health” in the United States. [read post]
11 Feb 2008, 11:20 pm
In a recent 5-3 decision, the United States Supreme Court ruled in the case of Stoneridge Investment Partners, LLC v. [read post]
9 Feb 2015, 7:10 pm
Chamber of Commerce (the Chamber); the International Medical Graduate Taskforce (IMGT); the Center for American Progress (CAP) and the Global Workers Justice Alliance (GWJA). [read post]
22 Jan 2023, 6:59 pm
See also footnote 282 (noting that notice given to a retained lawyer-agent may be viewed as notice to the client principal, but the cases do not support imputing scienter from a lawyer to a client). [read post]
