Search for: "Mutual Fund 7"
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21 Sep 2018, 5:57 am
The findings stated that the trades included customer purchases of various mutual funds and exchange traded funds that were unknown to the customers prior to Irving recommending the securities. [read post]
8 Sep 2016, 8:04 am
On September 7, 2016, American Finance Trust, Inc. [read post]
22 Nov 2010, 10:05 am
The letter addresses the responsibilities of mutual fund directors in reviewing certain conflict-of-interest transactions under Rule 17a-7 (allows certain purchases from and sales to affiliated funds), Rule 17e-1 (provides guidance for the use of affiliated brokers for portfolio transactions), and Rule 10f-3 (allows certain purchases from affiliated underwriting syndicates). [read post]
31 Mar 2015, 2:11 pm
” You pay your investment advisor for their experience and their guidance with your various investments such as stocks, bonds and mutual funds; for example, your advisor may encourage you to trade a certain stock or invest in a new mutual fund. [read post]
10 Jul 2013, 10:43 pm
Nomination must be submitted no later than 7 p.m. on Friday, August 9, 2013. [read post]
29 Mar 2007, 5:51 am
Funds Fee Litig., 463 F.Supp.2d 505, 506-07 (D. [read post]
12 May 2010, 1:45 pm
And as mutual funds are not retirement funds, they would be subject to the exemptions mentioned at the beginning of this post. [read post]
12 May 2010, 1:45 pm
And as mutual funds are not retirement funds, they would be subject to the exemptions mentioned at the beginning of this post. [read post]
13 Jul 2018, 6:19 am
Huennekens, and Jamie Smith, EY Center for Board Matters, on Tuesday, July 10, 2018 Tags: Audit committee, Banks, Boards of Directors, Compensation committees, Cybersecurity, Financial institutions, Management, Nominating committees, Oversight, Risk oversight Mutual Fund Transparency and Corporate Myopia Posted by Vikas Agarwal (Georgia State University), Rahul Vashishtha (Duke University), and Mohan Venkatachalam… [read post]
27 May 2014, 5:47 pm
Thereafter, fraudulent loan applications were submitted to financial institutions to fund the purchases. [read post]
7 Aug 2008, 4:23 pm
The trustee withdrew the funds and left for their mutual homeland never to be heard from again. [read post]
7 May 2009, 6:40 pm
Insurer's Obligation To Search For Coverage - Expanding The Insurer's Duties - San Francisco lawyer Sara Thorpe of Gordon & Rees on the National Insurance Law Forum Fourth Circuit Reinstates Securities Fraud Lawsuit Against Mutual Fund Investment Advisor - Greensboro attorney Mack Sperling of Brooks Pierce in his blog, the North Carolina Business Litigation Report U.S. [read post]
21 Sep 2011, 3:05 pm
Comm'r of Ins., 7 No. 7 Westlaw Journal Medical Malpractice 2, Westlaw Journal Medical Malpractice September 9, 2011An Indiana family whose daughter died two days after being admitted to a hospital for treatment of an inflamed and swollen throat is seeking $1 million in damages from a state malpractice fund. [read post]
19 Sep 2011, 2:00 am
The Financial Stability Oversight Council (FSOC), in its recent Annual Report, made reference to the use of leverage by mutual funds and the SEC’s pending review of significantly leveraged ETFs. [read post]
25 Feb 2014, 6:05 am
Independent industry sources further report a substantial shift in recent structured settlement premium with increasing sales to fund workers compensation Medicare set-aside arrangements (WCMSAs). [read post]
7 Nov 2008, 2:26 pm
For the non-industry types or casual readers of this blog, I am talking about a practice at most major casualty insurance firms such as AIG, Hartford, Liberty Mutual, Allstate to name the big boys, and scores of lesser firms, where when you decide to use a structured settlement to resolve your claim, you are informed that you must fund this annuity from a list of "approved life markets". [read post]
6 Apr 2012, 6:21 am
File your comments on these important issues by the May 7 deadline. [read post]
23 Jan 2014, 2:00 am
Its District 7 Office in Boca Raton covers Florida, Puerto Rico, Panama, and the Virgin Islands. [read post]
25 Jul 2014, 7:38 am
The two men so distrust each other, and each is so determined to deny the other even the smallest political success, that their approach to running the Senate has been reduced to a campaign of mutually assured dysfunction. [read post]
29 Nov 2018, 6:22 am
In the U.S., assets in passive mutual funds (MFs) and exchange-traded funds (ETFs) have increased from $220 billion twenty years ago to $7 trillion today (figure 1). [read post]
