Search for: "Security Funding Company "
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21 May 2015, 6:07 am
The Commission today will consider two recommendations of the staff to modernize and augment the information reported by both registered investment companies, which include mutual funds and ETFs, and investment advisers. [read post]
2 Nov 2017, 10:17 am
HMS Income Fund is a publicly registered, non-traded business development company (BDC) sponsored by Hines. [read post]
11 May 2012, 4:36 pm
SEC Chairman Mary Schapiro gave a speech at the Investment Company Institute's General Membership Meeting in which she reiterated her position that money market funds need additional regulation: We saw what happened in 2008. [read post]
13 Nov 2017, 2:11 pm
Woodbridge 4 is one of several mortgage funds offered by the California-based Woodbridge Group of Companies, LLC (“Woodbridge”), the successor firm to Woodbridge Structured Funding, LLC. [read post]
14 Jul 2011, 7:18 am
[JURIST] Former hedge fund trader Danielle Chiesi on Wednesday agreed to pay USD $540,000 to settle a civil charge with the Securities and Exchange Commission (SEC) [official website]. [read post]
23 Jun 2004, 3:19 pm
The Securities and Exchange Commission voted Wednesday to require mutual fund boards to have chairmen who are independent from the companies managing the funds. [read post]
27 Jul 2011, 4:00 pm
The company has purportedly created 14 different real estate funds. [read post]
18 Jan 2019, 6:41 am
Often, they are independent companies, and individual investors buy shares in the company. [read post]
23 Apr 2019, 9:05 pm
In the process of building these funds, mutual fund companies have become the largest shareholders of the world’s most valuable public companies. [read post]
4 Mar 2022, 7:22 am
The company encouraged them to transfer their funds into the Waterford funds, calling it “award-winning. [read post]
28 Aug 2022, 9:05 pm
” In fact, mutual fund companies explicitly promote their funds based on these factors, knowing that investors will respond. [read post]
18 Dec 2015, 8:59 am
By Amy Leisinger, J.D.The SEC has granted exemptive relief to enable a fund to suspend redemptions in order to conduct an orderly liquidation of the fund while avoiding fire sales of securities. [read post]
2 Apr 2018, 8:17 am
FS Energy & Power Fund – Recovery of Investment Losses FS Energy & Power Fund is a Business Development Company (BDC) that invests primarily in the debt and income-producing equity securities of private companies involved in the vast domestic infrastructure required to locate, produce and deliver energy and power. [read post]
29 Apr 2015, 9:46 am
A "private fund adviser" is defined as "an investment adviser who provides advice solely to one or more qualifying private funds, other than a private fund that qualifies for the section (3)(c)(1) investment company act exclusion. [read post]
9 May 2017, 6:30 am
In a case with important implications for late-stage private companies, a federal magistrate judge ruled last week that investors in funds holding private company securities can bring fraud claims against the issuer of the securities and its officers, even though the plaintiffs had no dealings with the issuer or its officers and hold no actual shares. [read post]
1 Feb 2024, 10:46 am
Investment Company Act – the manager will need to choose whether to have the fund use the 3c1 or 3c7 exemptions. [read post]
2 Jun 2021, 7:26 am
The complaint alleges that Franzone sent fund money to a company he owned and invested the rest in illiquid private companies and real estate. [read post]
31 Jul 2011, 5:39 pm
Violating securities laws in the early rounds of fund-raising for a company could doom future efforts to raise capital. [read post]
1 Mar 2011, 12:32 pm
The SEC alleges that Goldfarb and his company, Baystar Capital Management LLC (BCM),... [read post]
20 Oct 2020, 5:26 am
As of July 15, 2017, the Colorado Division of Securities (“CDS”) adopted Rule 51-4.11(IA) of the Code of Colorado Regulations which exempts certain investment advisers whose sole clients are qualifying private funds from having to register with the state (the “Colorado Private Fund Adviser Exemption”). [read post]
