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7 Oct 2021, 4:20 am
Over to Mark, Tim and Alex:"Part 1 of this two-part series showed how standard-essential patent (SEP) owners that now advocate against licensing component suppliers made the decision to invest in standard setting when they understood FRAND commitments to require licensing everyone and developed their large SEP portfolios with such an understanding in mind. [read post]
20 Dec 2010, 10:32 am
Cases brought by the Securities and Exchange Commission in the past year involving hedge funds appear to rely on the same analysis of materiality and its relationship to the source of the nonpublic information. [read post]
14 Aug 2020, 6:29 am
Securities and Exchange Commission, on Friday, August 7, 2020 Tags: Asset management, Disclosure, Investor protection, Mutual funds, SEC, SEC rulemaking, Securities regulation Initial Perspectives and Implications of SEC Proxy Advisory Reform Posted by Adam O. [read post]
9 Oct 2023, 9:05 pm
Davis Inc. [read post]
11 Nov 2009, 7:19 am
Securities & Exchange Commission "in an effort to have Mr. [read post]
18 Dec 2009, 10:38 am
District Court for the Southern District of New York, alleged Renato Negrin, a former portfolio manager at hedge fund investment adviser Millennium Partners, L.P., and Jon-Paul Rorech, a salesman at Deutsche Bank Securities Inc., engaged in insider trading in the credit default swaps of VNU N.V., an international holding company. [read post]
20 Sep 2007, 2:50 pm
Also in July, the New York Stock Exchange hit Smith Barney with a $50 million fine for charges centered around market timing activities. [read post]
24 Jul 2007, 11:37 am
The New York Stock Exchange hit Smith Barney with a $50 million fine for charges centered around market timing activities. [read post]
3 Jun 2021, 11:27 am
In Verizon Communications Inc. v. [read post]
2 Feb 2023, 12:22 pm
The pair claimed they were investing in a diversified portfolio when in reality only a small fraction of the investor money was used for productive investment. [read post]
15 Apr 2024, 6:48 am
” “Litigation finance is a $15.2 billion industry in which investors fund lawsuits in exchange for a portion of any award. [read post]
10 Apr 2023, 11:49 am
The claim further alleges investment losses in Healthcare Trust Inc and Franklin BSP Lending Corp. [read post]
17 Sep 2017, 7:30 pm
Before you invest in one or both of the offerings by the trusts, you should read the prospectus in that registration statement related to that offering and other documents that The National Collegiate Funding LLC has filed with the SEC for more complete information about The National Collegiate Funding LLC, the trusts, the securitization transactions, the student loans and the offerings. [read post]
31 Mar 2012, 8:17 pm
The findings stated that Dooley recommended purchase speculative exchanged-traded funds (ETFs) designed from intra-day trading when he knew customers' investment objections were growth and income as opposed to speculative day trading. [read post]
20 Apr 2023, 1:20 pm
On February 9, 2023, the Security and Exchange Commission (“SEC”) charged Payward Ventures, Inc. and Payward Trading Ltd. [read post]
3 Oct 2010, 5:00 am
Janus Capital Group, Inc. v. [read post]
5 Jul 2023, 12:52 pm
Broker-dealers may face various regulatory actions from FINRA and the Securities and Exchange Commission, including censures, fines, suspensions, and restitution. [read post]
28 Mar 2011, 7:02 pm
Madoff Investment Securities Inc., 08-01789, U.S. [read post]
9 May 2022, 7:24 am
If they have any mutual funds or exchange traded funds in their portfolios that prohibit or limit investment in fossil fuels, then that is problematic. [read post]
9 Aug 2019, 6:16 am
Posted by Darren Rosenblum (Pace University), on Wednesday, August 7, 2019 Tags: Boards of Directors, California, Corporate Social Responsibility, Diversity, Europe, Incentives, International governance, Securities regulation, State law Diversified Portfolios Do Not Reduce Competition Posted by Barbara Novick, BlackRock, Inc., on Wednesday, August 7, 2019 Tags: Common ownership, Executive… [read post]
