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2 Oct 2023, 10:00 pm
On September 20, 2023, in a 4-1 vote, the US Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to the rule governing fund names, which impose new disclosure, compliance, reporting, and recordkeeping requirements on certain funds. [read post]
6 Jul 2010, 3:03 am
BP has approached sovereign wealth funds with a view to securing a strategic investor to fend off takeover bids while the British oil company deals with its massive U.S. oil spill, according to press reports. [read post]
10 Aug 2021, 5:57 am
Do enhanced index funds offer investors a better performing index fund or are they simply a marketing gimmick for investment companies to lure investors into funds with higher fees? [read post]
27 Apr 2011, 3:34 pm
An SEC proposal to eliminate all five remaining references to credit ratings from Investment Company Act Rule 2a-7 would be a mistake that has the potential to harm the money market fund industry and its investors, in the view of the Mutual Fund Directors Forum. [read post]
2 Nov 2021, 6:18 am
With that mission in mind, we’re proud to announce a $202 million Series D funding round, which brings the company to an overall valuation of over $2 billion. [read post]
30 Mar 2022, 1:59 pm
The company intends to use the funding to accelerate its research and development of mRNA vaccine and drug discovery focused on infectious disease, cancer, and ... [read post]
18 Feb 2012, 10:09 am
” A private fund adviser is any investment adviser who provides advice solely to one or more private funds (i.e. a 3(c)(1) fund or a 3(c)(7) fund).[1] A private fund adviser must not be subject to disqualification from prior bad acts such as fraud or other securities law violations. [read post]
26 Dec 2021, 7:41 am
During the relevant period, the company issued two press releases that later became the subject of the securities class action lawsuit. [read post]
9 Feb 2010, 3:13 pm
Regarding the ongoing debate over target date funds: Apparently the Investment Company Institute has prepared a paper called "Dispelling Target Date Fund Myths with the Facts. [read post]
27 Oct 2009, 7:25 pm
R. 3818 To amend the Investment Advisers Act of 1940 to require advisers of certain unregistered investment companies to register with and provide information to the Securities and Exchange Commission, and for other purposes. [read post]
18 Jul 2011, 6:00 pm
John Fund cited outside of the securities context, and its impact on non-securities class actions should be minimal. [read post]
25 Jan 2007, 4:52 am
Greenberg’s company will invest alongside state-owned Citic Securities, China’s biggest publicly traded brokerage. [...] [read post]
24 Oct 2017, 10:16 am
The company often raises money for investments through Reg D private placement offerings like the company did for Reef 2011 Private Drilling Fund LP. [read post]
11 Dec 2015, 1:56 pm
A “retail buyer fund” is a qualifying private fund that is neither a venture capital company nor a qualifying private fund that qualifies for the Section 3(c)(7) exclusion from the “investment company” definition in the 1940 Act. [read post]
28 Mar 2013, 1:01 pm
Though created to “hedge against risk” and maximize gains through aggressive and advanced investment strategies, one recent hedge fund lawsuit against a prominent investment company may undermine confidence in this fundamental function of hedge funds. [read post]
18 Feb 2020, 5:00 am
Data security company Enveil raised $10 million in Series A funding as it looks to build out its products and hire more people this year. [read post]
15 Nov 2013, 7:00 am
” Alt funds, according to FINRA, invest in anything ranging from global real estate, commodities, and leveraged loans, to start-up companies and unlisted securities that offer exposure beyond traditional stocks, bonds and cash. [read post]
28 Oct 2020, 9:09 am
The Securities and Exchange Commission today voted to enhance the regulatory framework for derivatives use by registered investment companies, including mutual funds (other than money market funds), exchange-traded funds (ETFs) and closed-end funds, as…Read the Full Press ReleaseHave a securities law question? [read post]
29 Apr 2020, 1:07 pm
Silver Law Group, a nationally-recognized class action law firm, is investigating AllianceBernstein Energy Opportunity Fund, L.P. and AllianceBernstein Energy Opportunity Fund, L.P II (collectively “AB Energy Funds”) on behalf of shareholders in the company. [read post]
23 Aug 2011, 8:47 am
The Securities and Exchange Board of India has issued a concept paper proposing the regulation of hedge funds and other alternative investment funds. [read post]
