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6 Apr 2020, 8:37 pm
For initial filings and renewal filings (with electronic payment) relating to mutual funds, closed-end funds, unit investment trusts and face-amount certificate companies, e-mail a copy of the Form NF to: (1) dob.sec-reg@ct.gov; and (2) dob.ar@ct.gov. [read post]
6 Apr 2020, 2:52 am
Expats should be particularly careful about investing in foreign mutual funds, which the IRS considers to be PFICs (Passive Foreign Investment Companies), and so trigger additional reporting. [read post]
3 Apr 2020, 8:19 am
Lenders and borrowers on loans made prior to June 5, 2020, may mutually amend such loans to allow for the longer repayment term. [read post]
31 Mar 2020, 1:50 pm
Section 3(c)(7) exempts funds that are only open to qualified investors, who are investors with at least $5 million in investments; however, there is no limitation on the number of such investors in a fund exempt under Section 3(c)(7). [read post]
31 Mar 2020, 7:32 am
In any event, the total number of hours paid under the Emergency Paid Sick Leave Act is capped at 80.If the employee’s schedule varies from week to week, please see the answer to Question 5, because the calculation of hours for a full-time employee with a varying schedule is the same as that for a part-time employee.Please keep in mind the daily and aggregate caps placed on any pay for paid sick leave and expanded family and medical leave as described in the answer to Question… [read post]
31 Mar 2020, 6:24 am
For investors who own high-yield mutual funds and indices, it behooves them to check and see if the underlying assets in the funds are riskier than they originally thought. [read post]
30 Mar 2020, 4:59 am
Cabrera, Case No. 18-56909 Chapter 7 Judge Hoffman : : Plaintiff, v. [read post]
30 Mar 2020, 3:03 am
Financial sector liability guarantees – among other things, this includes a guarantee program for the U.S. money market mutual fund industry and bank debt guarantee authority 5. [read post]
23 Mar 2020, 6:56 am
Land Fund 7, LP Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
19 Mar 2020, 6:30 am
Sullivan, a case where the Supreme Court held the government may bar physicians who received Title X family planning funds from discussing abortion with their patients. [read post]
25 Feb 2020, 7:08 am
Private placements tend to be speculative and exposed investors to unique risks like lack of liquidity, concentrated risk, key-man risk, and management risk not typically found in publicly traded investments like mutual funds. [read post]
22 Feb 2020, 4:12 am
• Within 7 days after the Remaining Petitioning Creditors’ receipt of the initial $30,000 payments, Tagnetics shall file with the court and serve, by email, upon on each of the Remaining Petitioning Creditors a notice of payment. [read post]
21 Feb 2020, 11:38 pm
How will any marital funds be spent? [read post]
16 Feb 2020, 9:38 am
From 2002 to 2010 he served as the founding chairman of the Mutual Fund Directors Forum, a not-for-profit organization devoted to educating independent mutual fund directors. [read post]
13 Feb 2020, 9:01 pm
Professor Tamar Frankel writes and teaches in the areas of fiduciary law, corporate governance, mutual funds and the regulation of the financial system. [read post]
13 Feb 2020, 2:40 am
These intermediaries were in turn responsible for redistributing funds to public decision makers and airline managers via a labyrinth of shell companies. [read post]
30 Jan 2020, 3:25 pm
As in prior years, OCIE emphasized scrutiny of advice given to retail investors regarding high-risk products and retail-targeted investments, including mutual funds, ETFs, municipal securities and other fixed income securities, and microcap securities. [read post]
30 Jan 2020, 6:16 am
In 2019, it was alleged that the representative misappropriated funds by diverting the client’s assets into his own personal account. [read post]
30 Jan 2020, 6:16 am
In 2019, it was alleged that the representative misappropriated funds by diverting the client’s assets into his own personal account. [read post]
28 Jan 2020, 6:00 am
For example, some fixed income mutual fund managers, pension plan sponsors, and endowment fund managers have historically relied on the larger rating agencies by name, the report explains. [read post]
