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25 Oct 2011, 9:51 am
Proposed Rule 5123(c) would exempt private placements sold only to any of the following types of purchasers: Institutional accounts, as defined in NASD Rule 3110(c)(4);2 Qualified purchasers, as defined in Section 2(a)(51)(A) of the Investment Company Act; Qualified institutional buyers, as defined in Securities Act Rule 144A; Investment companies, as defined in Section 3 of the Investment Company Act; An entity composed exclusively of qualified… [read post]
21 Oct 2011, 10:52 am
"2. [read post]
18 Oct 2011, 7:01 pm
It’s frankly an abuse of the public trust for AGs to be settling claims without investigation. [read post]
17 Oct 2011, 1:51 pm
One benefit is helping cut down on medical errors and avoiding duplicate tests. 2. [read post]
17 Oct 2011, 3:00 am
Michael received only W-2 forms reporting his employment compensation. [read post]
15 Oct 2011, 4:58 pm
Gerns:1. [read post]
11 Oct 2011, 12:10 pm
The Bankruptcy Code has two competing interests, which are (1) survival of the debtor and (2) fair treatment of the debtor’s creditors. [read post]
11 Oct 2011, 5:52 am
This recall came after data from a recent study indicated that the five year failure rate of this product is approximately 13%, or 1 in 8 patients. [read post]
4 Oct 2011, 3:28 pm
A gatekeeper is someone—be it a person or entity—who, if they withhold their blessing, can prevent the corporation from effecting a desired transaction or from maintaining some desired status.[1] Often, a gatekeeper will be a reputational intermediary who provides certification services for investors. [read post]
4 Oct 2011, 6:00 am
On this issue, the Court applied the following test: to be a trade or business, an entity must engage in an activity (1) for the primary purpose of income or profit and (2) with continuity and regularity. [read post]
29 Sep 2011, 5:56 pm
The leads to a higher level of morale and trust in the employer. [read post]
29 Sep 2011, 12:40 pm
Cohen points business owners to four ways to protect themselves: 1) a will, 2) a premarital agreement, 3) buy/sell agreement, and 4) an entity to hold the business in trust. [read post]
28 Sep 2011, 2:02 pm
The misconduct charges were brought by the Securities and Exchange Commission, or SEC, after RBC marketed and sold $200 million in credit-linked notes to trusts created by the districts. [read post]
28 Sep 2011, 8:14 am
RBC Capital settled by agreeing to: (1) cease and desist from committing or causing any violations of Sections 17(a)(2) and 17(a)(3) of the 1933 Act; and (2) pay $30.4 million that will be distributed in varying amounts to the school districts through a Fair Fund. [read post]
23 Sep 2011, 6:21 pm
Okay, so before I tell you what’s causing me to question my very existence… I have a few questions, and I’d really appreciate some answers… again, assuming I’m even writing this and someone is actually reading it. 1. [read post]
23 Sep 2011, 6:00 am
In a couple of particularly meaningful moments in the opinion, the Court: (1) disposes of the argument that, by “splitting” the note and deed of trust by transfer of the note to an entity other than the original lender, the note holder has somehow lost the right to foreclose on the deed of trust, and instead the Court held that assignment of the note in blank, carried with it the underlying security set out in the deed of trust and gave the… [read post]
21 Sep 2011, 3:31 am
In general this means that the SEC registered fund manager will need make sure that the fund (1) maintains its assets with a qualified custodian and (2) has an annual audit by a PCAOB Registered and Inspected audit firm. [read post]
20 Sep 2011, 7:00 am
The entity with the most control over prices in healthcare is the U. [read post]
19 Sep 2011, 1:15 pm
According to the Supreme Court, the differences between a plan sponsor and a plan administrator are: “the plan’s sponsor (e.g. the employer), like a trust’s settlor, 1. [read post]
18 Sep 2011, 8:21 pm
First, some state-court preparation work. 1. [read post]
