Search for: "In Re B & W Management, Inc." Results 1 - 20 of 301
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22 Oct 2023, 9:01 pm by renholding
Morgan Stanley split from the Ninth Circuit, finding that a violation of Item 303 would be actionable under Section 10(b) and Rule 10b-5 if plaintiffs met the materiality requirements set forth in Basic Inc. v. [read post]
27 Jun 2023, 9:01 pm by renholding
”[38] As then-Commissioner Paul Atkins once said, “[W]e must be vigilant that the shareholder proposal process does not result in the tyranny of the minority. [read post]
15 Dec 2022, 8:00 am by CFM Admin
Managers who no longer qualify for SEC registration as of the time of filing the annual Form ADV amendment must withdraw from SEC registration within 180 days after the end of their fiscal year (June 30, 2023, for most managers), by filing a Form ADV-W. [read post]
15 Dec 2022, 4:00 am by CFM Admin
Managers who no longer qualify for SEC registration as of the time of filing the annual Form ADV amendment must withdraw from SEC registration within 180 days after the end of their fiscal year (June 30, 2023, for most managers), by filing a Form ADV-W. [read post]