Search for: "Financial Asset Securities Corporation"
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24 Dec 2009, 6:31 am
In doing so, the author discusses the conduct of the major regulators, including the Securities and Exchange Commission (SEC), which he does not spare from criticism. [read post]
23 Jan 2020, 5:00 am
A financial transaction tax is one of several names for a tax on financial assets. [read post]
11 Dec 2023, 1:18 pm
Entities subject to significant U.S. government regulation, specifically securities reporting issuers; governmental authorities; banks, credit unions, bank holding companies, and money service businesses; securities brokers/dealers, securities exchanges/clearing agencies, other entities registered under the Securities Exchange Act of 1934, investment companies and investment advisors, venture capital fund advisers, and insurance companies as defined under… [read post]
16 May 2024, 9:01 pm
Further, U.S. debt capital markets facilitate 75 percent of debt financing of non-financial corporations. [read post]
25 Apr 2022, 1:39 pm
On January 11, 2021, VIH announced its plan to complete a business combination with Bakkt Holdings LLC (Legacy Bakkt), a digital asset trading platform. [read post]
26 Apr 2014, 8:31 pm
(e.g., Joel Slawotsky : " Rethinking Financial Crimes and Violations of International Law", Jan. 9, 2013). [read post]
7 Apr 2011, 7:04 am
This is especially true in a smaller business owned by a corporate entity that has only a few shareholders or members. [read post]
24 Feb 2021, 2:55 am
The TCJA introduced full expensing for investment in short-lived assets through 2022, with this investment incentive phasing down completely by 2027, and repealed the corporate alternative minimum tax (AMT). [read post]
20 Jan 2012, 8:53 am
In addition to its rulemaking authority, on July 21, 2011 the Bureau acquired supervisory and enforcement powers with respect to financial privacy matters over large banks, savings banks, savings associations and credit unions (with assets over $10 billion). [read post]
31 Aug 2012, 5:00 am
In Oddo Asset Management v. [read post]
13 Jul 2023, 8:18 am
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
9 Mar 2020, 2:48 pm
Founders, management and corporate legal counsel need to carefully monitor and analyze the residence, financial condition and sophistication of potential shareholders before any securities offering to determine whether the securities must be registered with the state of the potential shareholder’s residence, and whether there is an exemption under such Blue Sky Laws. [read post]
20 Apr 2022, 9:05 pm
The Executive Order on digital assets offers six objectives that serve as a natural starting point: protect consumers, investors, and businesses; protect United States and global financial stability and mitigate systemic risk; mitigate the illicit finance and national security risks; reinforce United States leadership in the global financial system and in technological and economic competitiveness; promote access to safe and affordable financial services;… [read post]
7 Aug 2018, 9:07 am
We generally know what to do if a commonly traded asset is deemed a security—we apply the securities laws. [read post]
15 Sep 2009, 11:03 pm
Another biggest regulatory body in the financial markets is Securities and exchange Board in India (SEBI). [read post]
19 Jun 2010, 10:45 am
Among other elements, the Bill includes proposals for executive compensation and corporate governance reform, hedge fund adviser registration, heightened regulation of over-the-counter derivatives and asset-backed securities and new rules for credit rating agencies. [read post]
3 May 2007, 10:41 am
The attractiveness of the asset-based loan product to corporate credits and financial sponsors is based on several distinguishing features. [read post]
14 Jun 2023, 9:05 pm
As Leo Strine and Dorothy Lund make clear, engaging in political activism creates huge risks that do not empirically promote corporate profitability.[13] Absent a positive correlation between corporate profits and political activism, clandestine corporate spending raises strong suspicions that managers are using corporate assets to advance their personal agendas to the financial detriment of shareholders.[14] Most certainly,… [read post]
15 Apr 2022, 7:10 am
Boca Raton, FL-based National Securities Corporation has received a fine of $663,000 after FINRA found that it deceived investors from December 2017 through January 2018. [read post]
11 Mar 2022, 1:54 am
Did your Financial Advisor Recommend Investing in Non-Traded REITs? [read post]
