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10 Aug 2010, 12:16 pm
Structured notes are often sold to retirees who are concerned about preservation of principal by promises of “downside protection” or “principal protection. [read post]
6 Jun 2012, 9:08 am
“Corporate officers are fiduciaries for investors and other stakeholders,” said U.S. [read post]
28 Oct 2009, 11:09 am
Today, all five SPCs are in default to investors after failing to make interest and principal payments. [read post]
16 Apr 2015, 5:45 am
Issuers, to be eligible for the exemption, must be Massachusetts-formed entities authorized to do business in the state whose principal place of business is in the state. [read post]
18 Oct 2021, 1:23 am
On a split-adjusted basis, some investors who purchased CION as a non-traded BDC may be facing close to a 40% loss on the principal on their original investment, not including any reinvested distributions. [read post]
23 May 2022, 8:54 am
The State of California garnered great praise a couple of years ago for advancing the cause of diversity on boards of business corporations by requiring public companies with a principal office in California to include specific numbers of minority community members on their boards. [read post]
20 Oct 2009, 12:41 pm
Those investors will be left with a less efficient and less liquid market. [read post]
6 Oct 2006, 5:52 am
Lawrence, respondent, counterclaimant and third party claimant in an NASD arbitration where the claimant and third party respondents were Wilder Richman Securities Corporation ("WRSC") and its principals, respectively. [read post]
14 Feb 2013, 8:20 pm
Lastly, it appears to point to an evolution to the role of the state from the principal source of standards and enforcer of law to a vehicle for the implementation of international standards in which enforcement power is left to global market actors--principally consumers and investors function of the decisions of global actors. [read post]
23 May 2007, 5:15 am
There were two principal sources. [read post]
7 Jun 2022, 3:22 pm
For many years even in the recent past, collective investor actions were principally limited to the U.S. and a few other common law countries (primarily Canada, Australia, and, to a lesser extent, the U.K.). [read post]
21 Oct 2009, 11:15 am
One unique feature of this scam was Merrick's use of debit cards as a vehicle for investors obtaining interest or principal from the investments. [read post]
18 Apr 2024, 9:01 pm
Every day, we see individuals, corporations, analysts, and others touting these developments. [read post]
4 Mar 2010, 6:09 am
Who Owns Corporations? [read post]
2 May 2020, 7:03 pm
This post was prepared by Frank Reynolds, who has been following Delaware corporate law, and writing about it for various legal publications, for over 30 years. [read post]
25 Feb 2011, 2:37 pm
One of the principal objectives of this effort is to boost the corporate bond market. [read post]
11 May 2023, 9:05 pm
First, investors in CS did bear a significant part of the losses. [read post]
27 Oct 2011, 12:57 am
Voting is just one of a variety of potential strategies shareholders can employ to mediate principal-agent conflicts. [read post]
11 Apr 2013, 6:27 am
We define them as corporations, “in which no single shareholder retains a principal position, defined by the SEC as 10 percent or more. [read post]
14 Apr 2010, 8:00 am
Bovespa’s Level 1 requires compliance with the following principal practices: Maintenance of a free-float of at least 25% of the capital. [read post]
