Search for: "SECURITIES CORP."
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2 Jun 2004, 3:54 am
The House of Representatives has passed the Health, Safety, and Security of Peace Corps Volunteers Act of 2004 [PDF], which will create an ombudsman and a more independent inspector general for the Peace Corps. [read post]
17 Oct 2011, 3:51 am
The Staff is to be applauded for developing this updated guidance that accomodates the federal securities law requirements for opinions with prevailing opinion practice and the practical needs of particular securities offerings. [read post]
9 Jul 2021, 10:29 am
Parikh, formerly of Aegis Capital Corp. [read post]
9 Feb 2021, 3:03 am
Yesterday, Corp Fin issued a sample comment letter for companies conducting securities offerings during times of extreme price volatility. [read post]
24 Feb 2011, 12:41 pm
Brown, the former treasurer of Taylor, Bean & Whitaker Mortgage Corp. [read post]
11 Apr 2022, 7:40 am
Franklin BSP Lending Corp. is a Business Development Company (BDC) that invests primarily in first and second lien senior secured loans and mezzanine debt issued by middle market companies. [read post]
24 Jan 2014, 4:55 am
Corp Fin Issues Rule 506 Transitional Guidance Yesterday, Corp Fin issued two new CDIs related to Rule 506 offerings commenced prior to September 23, 2013, the effective date of the new Rule 506(c) exemption. [read post]
4 Mar 2011, 8:34 am
If you are an investor that suffered losses by purchasing a private placement recommended or sold by Workman Securities, you may entitled to recovery through securities arbitration. [read post]
10 Aug 2015, 4:40 am
Last Thursday, Corp Fin issued 11 Securities Act Rules CDIs (256.23 – 256.33) & one Securities Act Forms CDI (130.15). [read post]
29 Aug 2012, 7:47 am
Corp Fin Issues No-Action Letter on Day-20 Pricing in Tender Offers Here's news from Gibson Dunn's "Securities Monitor Blog": The SEC's Division of Corporation Finance recently granted no-action relief to Sonic Automotive, Inc., allowing Sonic to utilize "Day 20" pricing in its recent exchange offer wherein the company offered to exchange common stock and cash for its outstanding convertible debt securities. [read post]
28 Dec 2017, 10:12 am
Recover your Investment losses in Hyperdynamics Corp. [read post]
20 Nov 2009, 5:44 am
Investors who had accounts MetLife Securities and its three affiliates - New England Securities Corp., Walnut Street Securities, and Tower Square Securities are encouraged to contact us and tell us your story. [read post]
23 Sep 2016, 3:39 am
Yesterday, Corp Fin issued this new “CDI 139.33/126.41” under the Securities Act Section 5/Form S-8 areas – while withdrawing “CDI 239.16/226.15. [read post]
6 May 2020, 9:12 am
Aegis Capital Corp. [read post]
29 Oct 2020, 12:58 pm
For more information on The White Law Group and its representation of investors, please visit https://www.whitesecuritieslaw.com. The post National Securities Corp. [read post]
18 Nov 2019, 11:17 am
The post James Anderson, Barred Broker Formerly With Ameritas Investment Corp., Subject Of 5 Disclosures appeared first on Securities Arbitration Lawyers Blog. [read post]
20 Mar 2023, 11:59 am
National Securities Attorneys If you invested in Credit Suisse 7.500% Perpetual Corp. [read post]
10 Sep 2023, 9:05 pm
Also during the “Dialogue with the Director” session on Friday at the ABA’s Business Law Section Fall Meeting, Jay Knight, Chair of the Federal Regulation of Securities Committee, asked Corp Fin Director Erik Gerding about the SEC’s current areas of focus. [read post]
19 Jul 2010, 4:54 am
For starters, these three new offices within Corp Fin are being created, as noted in this press release: - Office of Capital Market Trends - A brand new office that will review new securities products and capital markets trends and develop recommendations for changes to the securities offerings rules [read post]
20 Jan 2020, 12:24 pm
FS KKR Capital Corp. [read post]
