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10 May 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on May 3, 2023 voted 3-2 to adopt amendments to Form PF that will impact the required reporting for certain SEC-registered investment advisers in the private fund industry (the Form PF Amendments) and, in particular, will require current reporting of certain triggering events by large hedge fund advisers and all private equity fund advisers. [read post]
10 May 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on May 3, 2023 voted 3-2 to adopt amendments to Form PF that will impact the required reporting for certain SEC-registered investment advisers in the private fund industry (the Form PF Amendments) and, in particular, will require current reporting of certain triggering events by large hedge fund advisers and all private equity fund advisers. [read post]
10 May 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) on May 3, 2023 voted 3-2 to adopt amendments to Form PF that will impact the required reporting for certain SEC-registered investment advisers in the private fund industry (the Form PF Amendments) and, in particular, will require current reporting of certain triggering events by large hedge fund advisers and all private equity fund advisers. [read post]
17 Jan 2023, 2:03 pm
That’s because hedge funds frequently invest in illiquid or otherwise difficult-to-value securities. [read post]
2 Aug 2011, 5:11 pm
This would effectively require most private fund managers who open their funds to accredited investors to register with their state securities commissioner. [read post]
2 Dec 2003, 4:41 am
In Tuesday's corporations and securities law news, New York Attorney General Eliot Spitzer may file a civil complaint against Amvescap Plc's Invesco Funds Group with allowing numerous hedge funds to make improper trades in its mutual funds. [read post]
6 Apr 2021, 9:02 am
Broker-Dealers Collectively Will Pay $550K Fine and Over $3.3M in Restitution The Financial Industry Regulatory Authority (FINRA) has fined and censured three brokerage firms after finding that they failed to supervise recommendations of the LJM Preservation and Growth Fund (LJMIX, LJMCX, LJMAX) and did not conduct the proper due diligence into the alternative mutual fund: Cambridge Investment Services will pay a $400K fine plus more than $3M in restitution Continue… [read post]
11 Jun 2015, 11:30 am
The applicant had challenged the Pension Plan Fund’s [Fund] reliance on a determination made by the Social Security Administration [SSA] as to his eligibility for disability pension benefits available to enrollees in the Plan.The U.S. [read post]
11 Jun 2015, 11:30 am
The applicant had challenged the Pension Plan Fund’s [Fund] reliance on a determination made by the Social Security Administration [SSA] as to his eligibility for disability pension benefits available to enrollees in the Plan.The U.S. [read post]
4 Oct 2015, 8:27 am
In the past, Congress would just allocate money from the Social Security old age and retirement fund and use it to fund the disability benefits fund. [read post]
2 Feb 2012, 8:11 am
Those engaged in deceptive conduct in an effort to defraud will face punishments of monetary penalty, lifelong ban from securities industry and even prison time. [read post]
5 Feb 2022, 5:58 am
Securities and Exchange Commission. [read post]
1 Jan 2018, 5:54 am
The post Inland Opportunity Fund II – Securities Investigation appeared first on White Securities Law. [read post]
25 May 2021, 7:27 am
Continue Reading › The post Old City Securities Broker Gregory Hersch is Named in $1.4M FF Fund I Investor Fraud Claim appeared first on Investor Lawyers Blog. [read post]
30 Jan 2017, 5:00 am
In 2006, the Commission adopted Rule 12d1-2, which allows open-end funds relying on this exemption also to invest in securities issued by a registered investment company “other than securities issued by another registered investment company that is in the same group of investment companies,” subject to certain limitations. [read post]
29 Jan 2009, 3:53 pm
Grassley Republican of Iowa, introduced a bill on Thursday requiring hedge funds to register with federal securities regulators and publicly disclose several different aspects of their business every year. [read post]
25 Nov 2007, 12:44 pm
(BSAM) violated securities laws in principal transactions it took part in with two hedge funds that it also advised. [read post]
3 Aug 2011, 12:44 pm
Read the rest of Doherty Secures Funds for Open Space Acquisition (99 words) [read post]
20 Sep 2011, 9:00 pm
A qualified custodian maintains those funds and securities: i. [read post]
9 Nov 2017, 7:00 am
A funding portal is allowed to help companies facilitate trades of the securities distributed under the start-up prospectus exemption without having to register as a dealer, except in Alberta where such exemption for funding portals in not available. [read post]
