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8 Oct 2019, 6:12 am
§ 101(e)(1) owned by the U.S. [read post]
10 Nov 2019, 7:32 am
Preston and Michael James, Cleary Gottlieb Steen & Hamilton LLP, on Sunday, November 10, 2019 Editor's Note: Michael J. [read post]
2 May 2017, 8:36 am
“Investors deserve real protection, and the law needs to change to ensure the punishment fits the crime. [read post]
1 Apr 2022, 4:17 am
And a preview of RIFKIN for Startups EDITOR’S NOTE: This is a companion piece to “* GiantPeople RIFKIN Report #1 – Top 10 Giver States And Bottom 10 Taker States. [read post]
23 Feb 2010, 10:40 am
According to your statements, this principal grew at an average of 10% a year. [read post]
11 Feb 2019, 9:44 am
Free Consultation Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
9 Apr 2009, 3:44 pm
The asset management firm discourages its investors from cashing in their profits. 10. [read post]
25 Sep 2012, 9:06 am
However, even as of today, this Arbitration Award does not appear on Ms. [read post]
19 Jan 2017, 8:48 am
These Reg D private placements are then typically sold by brokerage firms in exchange for a large up front commission, usually between 7-10%, as well as additional “due diligence fees” that can range from 1-3%. [read post]
19 Jan 2017, 11:14 am
These Reg D private placements are then typically sold by brokerage firms in exchange for a large up front commission, usually between 7-10%, as well as additional “due diligence fees” that can range from 1-3%. [read post]
25 Dec 2009, 12:04 pm
December 1, 2009. [read post]
21 Mar 2011, 10:26 am
[1] Marcel Kahan & Edward B. [read post]
24 May 2019, 9:49 am
Whistleblower awards can range from 10 percent to 30 percent of the money collected when the monetary sanctions exceed $1 million.On Feb. 21, 2018, the U.S. [read post]
9 Aug 2023, 9:05 pm
It is based on their recent paper, “Does Enhanced Disclosure Curb CEO Pay? [read post]
14 Nov 2009, 5:00 am
Pirate Investor, LLC, 580 F.3d 233 (4th Cir. 2009), the SEC filed suit against Pirate Investor, LLC ("Pirate"), alleging the publisher made fraudulent misrepresentations violating §10(b) of the 1934 Securities Exchange Act. [read post]
10 Oct 2011, 3:51 pm
The SRO also said that between 1/06 and 6/10 Merrill Lynch did not monitor another 40,000 employee/employee-interested accounts. [read post]
14 Jan 2020, 1:56 pm
The investors’ tax basis does not include the original capital contribution from deferred capital gains, but does include allocations of taxable income of the QOF, allocations of non-recourse debt of the QOF (subject to special rules for debt incurred within two years of the date of investment), and increases in basis after the initial five-year holding period (10% of the original capital contribution) and seven-year holding period (15% of the original… [read post]
9 Feb 2011, 10:57 am
Indices are not available for direct investment; therefore, their performance does not reflect the expenses associated with the management of an actual portfolio. 1941: World War II was raging, and the US had just entered the conflict. [read post]
22 Feb 2011, 6:00 am
The Dodd-Frank Act provided that, upon enactment and for four years following enactment, the net worth threshold for accredited investor status will be $1 million, excluding the equity value (if any) of the investor’s primary residence. [read post]
5 Jul 2011, 6:00 am
So does this mean that if you are the manager of a small hedge fund or that if you run a venture capital fund, you won’t need to deal with the SEC? [read post]
