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1 Nov 2019, 6:00 am
Walters, Akin Gump Strauss Hauer & Feld LLP, on Friday, October 25, 2019 Tags: Books and records, CFTC, Disclosure, Fiduciary duties, Form ADV, Form CRS, Investment advisers, OCIE, SEC, SEC enforcement, Securities enforcement, Securities regulation, Shareholder voting The New Stock Market: Law, Economics, and Policy Posted by Merritt B. [read post]
10 Aug 2011, 7:46 pm by Lawrence B. Ebert
” Audi’s Mot. to Dismiss Ex. 3-B (Nov. 21, 2007) (D.I. 89-5) (emphasis added). [read post]
17 Sep 2017, 7:30 pm by Wolfgang Demino
  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]
9 Oct 2014, 10:14 am by Steven Koprince
SDS was a joint venture comprised of two companies, Siege Enterprises, LLC (“SE”) and Dae Sung LLC (“DS”). [read post]
30 Sep 2011, 4:04 pm by Eric Schweibenz
(d/b/a TonerZone.com Inc. and Inkjet Superstore), Chung Pal Shin (d/b/a Ink Master), Nectron International, Inc., Quality Cartridges Inc., Direct Billing International Incorporated (d/b/a Office Supply Outfitter and The Ribbon Connection), E-Toner Mart, Inc., Alpha Image Tech, ACM Technologies, Inc., Virtual Imaging Products Inc., Acecom Inc-San Antonio (d/b/a inksell.com), Ink Technologies Printer Supplies, LLC (d/b/a Ink Technologies… [read post]
5 Aug 2013, 5:00 am by Doug Cornelius
Even better, the update adds some clarity to partnership agreements: Partnership agreements, subscription agreements and LLC agreements are not certificates under Rule 206(4)-2(b)(2)(B) and the securities represented by such documents are privately offered securities provided they meet the other elements of Rule 206(4)-2(b)(2). [read post]
23 Jul 2015, 9:11 am by Rebecca Tushnet
 Unclean hands: usually A can’t get relief against B because A was bad to B—but in these cases unclean hands means “being bad to the public/public interest. [read post]
4 Jun 2019, 10:20 am by Rebecca Tushnet
  Indiana SCt: it’s newsworthy in a newspaper so it’s newsworthy here.EDPa: GoLo LLC v. [read post]
12 Jan 2024, 8:56 am by jeffreynewmanadmin
LLC and the former head of its equity syndicate desk, Pawan Passi, with a multi-year fraud involving the disclosure of confidential information about the sale of large quantities of stock known as “block trades. [read post]
14 Mar 2017, 3:08 pm by Francis Pileggi
The court, in the case styled In Re Oxbow Carbon LLC Unitholder Litigation, Consol. [read post]