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22 Mar 2010, 2:51 pm
Today, the Massachusetts Securities Division announced that it issued 6 subpoenas to National Securities; QA3 Financial; CapWest Securities; Independent Financial Group; Investors Capital; and Centaurus Financial seeking information related to the sale of Medical Capital Holdings Inc. and Provident Royalties. [read post]
25 Oct 2010, 11:17 am
Currently the two providers of structured sale funding vehicles are Allstate International Assignments and Brook Hollow. [read post]
25 Oct 2010, 11:17 am
Currently the two providers of structured sale funding vehicles are Allstate International Assignments and Brook Hollow. [read post]
17 Nov 2011, 1:10 pm
Previous, I summarized the Entrepreneur Access to Capital Act (H.R. 2930), a bill which provides for a crowdfunding exemption to the registration requirements of federal and state securities laws. [read post]
9 Nov 2011, 6:27 pm
The second element is that no more than 20% of the fund’s total assets (including committed but not yet invested capital) can be invested in assets that are not “qualifying investments” or “short term holdings. [read post]
19 May 2010, 8:59 am
The proxy disclosed the range of discount rates used as did the discussion materials provided to the special committee, but the special committee was apparently not told why the financial advisor was using a discount rate higher than the company's calculated cost of capital. [read post]
17 Nov 2011, 6:04 am
Should be in his paper that is provided online?) [read post]
22 Apr 2021, 1:29 pm
Earlier today, the United States Supreme Court issued a unanimous opinion in AMG Capital Management v. [read post]
3 Sep 2006, 3:38 pm
This raises the interesting question: Which method provides the lowest overall cost of capital for the firm? [read post]
5 Apr 2012, 12:34 pm
First, emerging growth companies are exempt from Section 951's requirement that public companies hold a non-binding stockholder vote on executive compensation arrangements. [read post]
25 Apr 2019, 9:07 am
The Committee will hold its first meeting on Monday, May 6, 2019, at the SEC’s headquarters in Washington, D.C.The Committee was established by the SEC Small Business Advocate Act of 2016, and is designed to provide a formal mechanism for the Commission to receive advice and recommendations on Commission rules, regulations and policy matters relating to small businesses, including smaller public companies. [read post]
17 Jan 2010, 5:07 pm
If you suffered investment losses in Medical Capital Holdings, contact us today. [read post]
5 Jun 2010, 8:57 am
As in the Provident case, the SEC charged Medical Capital Holdings with fraud in July 2009. [read post]
12 Jan 2012, 11:51 am
An administrative order by the Indiana Securities Division extends a 2008 policy statement on private equity/venture capital funds and investment adviser registration by providing a post-Dodd-Frank Act IA registration exemption for the funds following that Act's elimination of the Section 203(b)(3) de minimis exemption for investment advisers.Effective January 9, 2012 and until the Division can adopt a rule for these funds, no enforcement action will be taken against any… [read post]
29 Mar 2011, 1:26 pm
A deal may in the works between Securities America and investors who lost hundreds of millions of dollars from soured private-placement deals in Medical Capital Holdings and Provident Royalties. [read post]
1 Dec 2011, 3:34 pm
Previously in the first installment of this series, I provided a general overview of how the SEC has defined the term “venture capital fund. [read post]
20 Dec 2023, 12:28 am
The discount factor reduces the amount of capital small- and medium-sized firms hold for their trading and derivative activities. [read post]
5 Jul 2010, 1:55 pm
Those same broker/dealers are now facing a slew of arbitration claims and lawsuits from investors who lost millions of dollars on the Provident deals, as well as on other private-placement offerings, including those from Medical Capital Holdings. [read post]
18 Dec 2013, 8:41 am
Debt financing was provided by Hercules Technology Growth Capital. [read post]
6 Sep 2007, 11:19 am
Another concern is the importance of the ratings for the calculation of banks' capital requirements. [read post]
