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14 Oct 2020, 10:00 pm
On October 7, 2020, the US Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Rule) under the Investment Company Act of 1940 (Act) and related amendments (Amendments) that are collectively designed to provide a more consistent and efficient regulatory framework for funds that invest in other funds (“fund of funds” arrangements). [read post]
14 Oct 2020, 10:00 pm
On October 7, 2020, the US Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Rule) under the Investment Company Act of 1940 (Act) and related amendments (Amendments) that are collectively designed to provide a more consistent and efficient regulatory framework for funds that invest in other funds (“fund of funds” arrangements). [read post]
14 Oct 2020, 10:00 pm
On October 7, 2020, the US Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Rule) under the Investment Company Act of 1940 (Act) and related amendments (Amendments) that are collectively designed to provide a more consistent and efficient regulatory framework for funds that invest in other funds (“fund of funds” arrangements). [read post]
14 Oct 2020, 10:00 pm
On October 7, 2020, the US Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Rule) under the Investment Company Act of 1940 (Act) and related amendments (Amendments) that are collectively designed to provide a more consistent and efficient regulatory framework for funds that invest in other funds (“fund of funds” arrangements). [read post]
14 Oct 2020, 10:00 pm
On October 7, 2020, the US Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Rule) under the Investment Company Act of 1940 (Act) and related amendments (Amendments) that are collectively designed to provide a more consistent and efficient regulatory framework for funds that invest in other funds (“fund of funds” arrangements). [read post]
5 Aug 2020, 2:32 pm
Our south Florida securities and investment fraud attorneys are investigating claims on behalf of investors in PAR Funding and related companies. [read post]
5 May 2021, 10:48 am
Cabot Lodge Securities LLC is under common control with Purshe Kaplan through holding company PKS Holdings, LLC. [read post]
20 Apr 2010, 5:00 am
Less than 100 Investors Section 3(c)(1) of the Investment Company Act excludes from being an investment company any issuer whose outstanding securities are beneficially owned by not more than 100 persons and that is not making and does not presently propose to make a public offering of its securities. [read post]
8 Feb 2010, 7:16 pm
The following blog update is being provided in response to recent inquiries from blog readers seeking information regarding the ongoing investigation by the Alcala Law Firm on behalf of IMH Secured Loan Fund, LLC investors: On January 15, 2010, Investors Holdings Mortgages, Inc. filed an amended Form S-4 with the Securities Exchange Commission (SEC) seeking member approval to restructure the company into a newly formed Delaware corporation named IMH Financial… [read post]
23 Mar 2018, 10:10 pm
However, under federal securities law, the SEC recognizes certain instances where companies seeking to raise capital are exempt from registering securities. [read post]
17 Jan 2022, 2:09 pm
Although the company has not publicly announced the funding, it filed a notification with the Securities and Exchange Commission on Jan. 7, 2022, documenting the raise of $25 million in equity financing. [read post]
17 Jan 2022, 2:09 pm
Although the company has not publicly announced the funding, it filed a notification with the Securities and Exchange Commission on Jan. 7, 2022, documenting the raise of $25 million in equity financing. [read post]
24 May 2010, 4:30 pm
Click here for more blog postings about IMH Secured Loan Fund. [read post]
19 Dec 2023, 9:05 pm
Unsecured debt of distressed companies is a popular investment for certain hedge funds, not least because it often allows the funds to serve on a distressed company’s unsecured creditors’ committee (UCC) shortly after the firm files for Chapter 11 bankruptcy. [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]
28 Nov 2012, 1:04 pm
The fund’s asset portfolio consisted primarily of corporate debt securities... [read post]
13 Dec 2006, 3:11 am
Hedge Funds and State Securitiesby Jay FishmanSenior Writer AnalystCCH IncorporatedHedge funds are mentioned by state securities regulators (and appear in the CCH Blue Sky Law Reporter) primarily in no-action letters. [read post]
30 Jan 2017, 5:00 am
In 2006, the Commission adopted Rule 12d1-2, which allows open-end funds relying on this exemption also to invest in securities issued by a registered investment company “other than securities issued by another registered investment company that is in the same group of investment companies,” subject to certain limitations. [read post]
21 Sep 2017, 1:33 pm
Investment Companies: If an entity treated as an investment company under the Act (or a 3(c)(1) or 3(c)(7) company) owns 10% or more of the voting securities of a fund, each of the owners of that entity will be counted as owners of the fund. [read post]
27 Mar 2013, 1:12 am
-Listed Chinese Company Settles: In 2010 and 2011, plaintiffs’ lawyers rushed to file securities suits in U.S. courts against Chinese companies with shares listed on the U.S. securities exchanges. [read post]
