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16 May 2012, 7:38 am
Giving adequate securities law disclosure is complicated, and the types of companies using crowdfunding may not be in a position to spend money on securities lawyers. [read post]
1 Apr 2013, 5:55 am
It starts a separate private fund for each company that it funds. [read post]
30 Mar 2011, 5:00 am
It just means that the management company is not an adviser to a private fund. [read post]
15 Dec 2009, 9:41 am
This Fund is available to Ontario (or Federal) companies with establishments in Ontario focussed on screen-based content products. [read post]
2 Jul 2020, 7:54 am
The company filed a form D to raise capital from investors in 2017. [read post]
14 Jan 2016, 11:51 am
The Fund invests primarily in companies involved in mining, processing or otherwise dealing in gold, silver, platinum, or other natural resources. [read post]
1 May 2017, 2:30 pm
The article notes: Makara's managing director Ali Ijaz Ahmad listed five areas of focus for the fund:Urban solutions including logistics and security;Fintech;Alternative energy;Advanced tech such as artificial intelligence and cyber-security; andHealthcare and bio-medicine.The companies will be selected based on criteria such as having a defensible IP, strong managerial talent and pan-Asian growth potential. [read post]
15 Mar 2010, 2:50 pm
Excerpt from Speech by SEC Commissioner Luis Aguilar, Making Sure Investors Benefit from Money Market Fund Reform, Investment Company Institute and Federal Bar Association Mutual Funds and Investment Management Conference, Phoenix, AZ, March 15, 2010: Potential Further Action Notwithstanding the... [read post]
22 May 2020, 10:09 am
The Securities and Exchange Commission today announced charges against William Sadleir, the owner of a film distribution company, for defrauding a publicly traded fund of at least $13.8 million. [read post]
7 Jun 2018, 6:14 pm
Benefits A benefit of crowdfunding, as opposed to raising funds pursuant to other prospectus exemptions, is that is allows a company to raise funds from a diverse range of people. [read post]
17 Jun 2013, 6:00 am
The proceeding, which began in December 2012, alleged that the directors failed to satisfy their pricing responsibilities under the federal securities laws.Under the securities laws, fund directors are responsible for determining the fair value of portfolio securities for which market quotations are not readily available. [read post]
20 Mar 2019, 5:16 pm
” The Commission’s proposal would allow eligible funds to engage in a more streamlined registration process to sell securities in response to market opportunities. [read post]
11 Apr 2023, 4:00 am
In the United States, it is illegal for any company or person to commit fraud in the sale or transfer of a security. [read post]
2 Jun 2020, 7:23 pm
Indeed, it is highly likely that several portfolio companies will require additional capital to secure a successful market relaunch or, in certain cases, solely for the purpose of pursuing their operations. [read post]
2 Jun 2020, 7:23 pm
Indeed, it is highly likely that several portfolio companies will require additional capital to secure a successful market relaunch or, in certain cases, solely for the purpose of pursuing their operations. [read post]
14 Jul 2017, 5:38 am
The company was delisted from trading on NASDAQ in October 2016 and is still under investigation by the Securities and Exchange Commission. [read post]
9 Mar 2021, 2:31 pm
The Spirit of America Energy Fund The Spirit of America Energy Fund primarily invests in energy-related entities such as exploration companies, production companies, transmission companies, and Master Limited Partnerships (MLPs). [read post]
14 Jan 2016, 11:34 am
The Fund invests in equity securities of domestic and foreign companies engaged in activities related to gold and precious metals. [read post]
17 Sep 2014, 2:59 pm
According to files with the Securities and Exchange Commission, the NNN Value Funds are limited liability companies that are the operators of nonresidential buildings. [read post]
8 Feb 2021, 10:29 am
Often companies that issue unlisted securities may provide little or no transparency into their ongoing operations and financial condition. [read post]
