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23 Oct 2020, 7:29 am
Effective December 8, 2020, the SEC’s definition of an “accredited investor” that is eligible to purchase securities in a private placement will be expanded to cover additional categories of investors, including investment advisers, individuals with certain professional certifications, and certain family offices, Indian tribes, governmental bodies, LLCs, funds and others. [read post]
8 Jun 2022, 9:05 pm
Investors search more when there is greater uncertainty leading up to a firm’s announcement and when the announcement itself exacerbates investor uncertainty. [read post]
7 Oct 2013, 12:23 pm
In the last 30 years, it has become incredibly important whether or not investors in securities offerings are accredited investors. [read post]
23 Jun 2021, 6:00 am
Law Students Present Investor Advocacy Ideas to SEC beckygillespie Wed, 06/23/2021 - 08:00 Read more about Law Students Present Investor Advocacy Ideas to SEC By Becky Beaupre Gillespie, Director of Content [read post]
12 Feb 2021, 8:56 am
The IRS began a heavy push to target Bitcoin and other cryptocurrency investors in 2019, and it has recently made clear that it will be continuing this push in 2021. [read post]
1 Mar 2020, 5:15 am
These sorts of ETFs are inversely correlated and come with a performance multiple, which basically amplifies the danger that investors face. [read post]
24 Jul 2019, 2:33 pm
Five Questions Investors Need to Ask Before They InvestWe are often asked how investors can best protect themselves against unscrupulous financial advisors and toxic investments. [read post]
27 Feb 2012, 5:00 pm
Does anyone know why investor-state might be less of a problem here? [read post]
21 Sep 2010, 11:11 am
Out of 1,319 investors polled, over 90% of investors want a broker and investment adviser to have and follow the same fiduciary duty and investor protection rules, according to a survey released on September 15 by the Opinion Research Corp. [read post]
28 Sep 2015, 5:58 am
Growth in institutional investor ownership over the last few decades puts these investors in the position to have significant influence, particularly if they can work collectively and coordinate their efforts. [read post]
24 Oct 2017, 9:38 am
Continue reading The post Investors in ATEL 14 LLC May Have Arbitration Claims appeared first on Investor Lawyers Blog. [read post]
8 Oct 2019, 12:36 pm
There is also wire fraud or mail fraud, as well as investor fraud. [read post]
23 Dec 2014, 7:19 pm
REPORT ON ACTIVITIES FISCAL YEAR 2014 – Office of the Investor Advocate. [read post]
29 Jul 2019, 5:44 am
How Common Is Investor Fraud? [read post]
14 Jul 2018, 5:17 am
On the other hand, the need to protect investors is paramount, and the criteria for accredited investors need to remain simple and straight-forward to apply. [read post]
3 Oct 2016, 3:22 pm
We find that prior portfolio choices influence investors’ future decisions. [read post]
2 Jun 2010, 10:37 am
A recent Medical Capital win by an investor over soured private placement deals is an encouraging sign for other investors with similar losses. [read post]
9 Apr 2018, 5:00 am
Fund managers use Active Share information to help analyze mutual fund investments, and mutual fund companies provide Active Share to some professional and institutional investors, but generally not to retail investors. [read post]
21 May 2018, 10:07 am
FINRA’s role is to protect individual investors, and it does this through means ranging from establishing formal rules for brokers to providing a forum for arbitration of investor disputes. [read post]
23 Apr 2020, 10:20 am
The SEC recently brought and settled an action against a former wannabe fund manager, who lied to prospective investors that he already had raised millions of dollars in the fund from other (fictitious) investors. [read post]
