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9 Nov 2023, 9:01 pm
In addition, the person must become a member of SIPC, adhere to a comprehensive regulatory regime, including the net capital rule[5] and Consolidated Audit Trail reporting, and be subject to examination by the SEC and FINRA. [read post]
2 Oct 2024, 2:47 pm
SEC Adopts Rule to Update Definition of Qualifying Venture Capital Funds. [read post]
13 May 2011, 2:20 pm
One of the main advantages to being a homeowner is financial securityyour home will provide you some financial security from capital appreciation if housing prices are rising. [read post]
8 Jul 2020, 7:20 am
(CRD# 4031), 1717 Capital Management Company (CRD# 4082), AXA Advisors, LLC (CRD# 6627), and The Equitable Life Assurance Society of the United States (CRD# 1039). [read post]
2 Aug 2019, 6:33 am
Colosimo, Fried, Frank, Harris, Shriver & Jacobson LLP, on Thursday, August 1, 2019 Tags: Contracts, Corporate forms, Delaware cases, Delaware law, LLCs, Merger litigation, Mergers & acquisitions Symmetry in Pay for Luck Posted by Naveen D. [read post]
3 Mar 2017, 6:16 am
Posted by Jeff Schwartz, University of Utah, on Sunday, February 26, 2017 Tags: Accountability, Disclosure, Fair values, Financial reporting, Firm valuation, Fund managers, Investor protection, Liquidity, Mutual funds, Private equity, Retail investors, Risk disclosure, Risk-taking, SEC, Securities regulation, Tech companies, Venture capital firms Shareholder Proposals Regarding Lead Director Tenure: A Harbinger of Things to Come? [read post]
25 Oct 2019, 6:31 am
Morris, Barr Law Group, on Sunday, October 20, 2019 Tags: Accountability, Institutional Investors, Investment advisers, JPMorgan, Liability standards, Misconduct, Mutual funds, Risk, Securities litigation Filing Thresholds and Main Street Investors Posted by Christine Jantz, Jantz Management LLC, on Monday, October 21, 2019 Tags: Boards of Directors, Engagement, Ownership, Retail investors, Rule… [read post]
2 May 2012, 8:28 am
Between December 1990 and April 2012, Crundwell used her position as comptroller to transfer funds from the Dixon's Money Market account to its Capital Development Fund account, as well as to various other city bank accounts. [read post]
18 Dec 2017, 4:04 am
Sure, just as space aliens could appear on the steps of the capital later today, carrying a cookbook. [read post]
2 May 2012, 8:28 am
Between December 1990 and April 2012, Crundwell used her position as comptroller to transfer funds from the Dixon's Money Market account to its Capital Development Fund account, as well as to various other city bank accounts. [read post]
31 Dec 2010, 11:50 am
Yucaipa American Alliance Funds II, L.P. v. [read post]
30 Sep 2018, 5:16 pm
On August 7th, 2018, Musk tweeted a nine-word message that he was “taking Tesla private at $420” and noted cryptically and confidently, “funding secured. [read post]
9 Dec 2007, 8:00 pm
We represent a variety of clients in connection with the establishment, structuring as well as regulatory matters of funds, including private investment funds, mutual funds, hedge funds, umbrella funds and real estate funds. [read post]
18 Aug 2021, 12:01 pm
The sponsor is owned by three funds affiliated with Pershing Square Capital Management, L.P, Ackman’s investment company. [read post]
4 May 2020, 4:26 pm
This raises an important policy question: What is the ideal intersection between properly incentivizing the massive amount of capital investment needed to fund R&D, while at the same time allowing for adequate data sharing and access to critical information, advancements, and the like, in order to respond efficiently and effectively to the pandemic? [read post]
1 Mar 2021, 6:56 am
If there are undrawn funds, then a novation rather than an assignment may be necessary. [read post]
2 Jul 2013, 2:53 pm
In Apollo Capital Fund LLC v. [read post]
28 Jul 2023, 1:02 pm
Woods of Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC was allegedly running an extensive ponzi scheme. [read post]
18 Mar 2021, 8:09 am
” In Arnuk’s view, payment for order increases overall costs in the market for all investors, including pension funds. [read post]
4 Sep 2009, 11:30 am
The current capital plan process does not respect individual community voice or input. [read post]
