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7 Mar 2015, 7:15 pm
International Will Information Registration. [read post]
10 May 2022, 8:27 am
Generally, the proposed rule amendments would require domestic or foreign company registrants to include certain climate-related information in their registration statements and periodic reports, including Form 10-K. [read post]
26 Apr 2023, 9:05 pm
Reg A was originally established by the SEC under Section 3(b) of the Securities Act in 1933 as a way for small issues to be exempt from registration.[5] Over the years, the annual offering limit allowed under this exemption was revised several times and eventually raised to $5 million in 1992. [read post]
11 May 2012, 6:16 am
On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act ("JOBS Act" or the "Act") into law. [read post]
16 Feb 2018, 12:00 am
Severgy did not file a registration statement for any of its securities offerings. [read post]
2 Dec 2020, 8:54 pm
Article 5(1) of the Banking Act 2009 (Restriction of Special Bail-in Provision, etc.) [read post]
27 Sep 2013, 4:52 am
No use requirement until 5/6 year. [read post]
2 Oct 2010, 11:53 am
. **** October 3-5 Sponsor: Opal Financial Group Event: Global Asset Allocation Summit Location: Las Vegas, NV October 3-5 Sponsor: Deal Flow Media Event: The Life Settlements Conference 2010 Location: Las Vegas, NV October 4-5 Sponsor: FIA Event: Equity Options Conference Location: New York, NY October 4-5 Sponsor: Corporate Counsel Event: 4th Annual Hedge Fund General Counsel Summit Location: New York, NY October 4-5 Sponsor: High Frequency… [read post]
4 Feb 2011, 9:00 am
- Modifying fund structures for tax efficiency 4:30- 5:30 Panel: What to do when the SEC knocks on your door? [read post]
20 Feb 2007, 8:26 am
Registration deadline Feb. 20, 2007. [read post]
11 Feb 2013, 12:00 pm
A Regional Center is an economic entity, public or private, which is involved with the promotion of economic growth, improved regional productivity, job creation and increased domestic capital investment. [read post]
19 Aug 2012, 4:07 pm
This means that a company cannot utilize equity compensation without either registering the securities that are issued to service providers or finding an exemption from registration. [read post]
5 Sep 2008, 12:19 pm
The Other Side(s) of the FAS 5 Coin: Auditor and Investor Viewpoints A few weeks ago, I blogged about how lawyers were not happy about the FASB's proposal to reform FAS 5. [read post]
19 Jul 2011, 3:09 pm
The Virginia of Division of Securities and Retail Franchising will take no enforcement action against an investment adviser or its investment adviser representatives that choose not to register in Virginia by July 21, 2011, provided the adviser's only client is a corporation, general partnership, limited partnership, limited liability company, trust or other legal organization that:(1) has assets of not less than $5 million; and(2) receives investment advice based on its investment… [read post]
19 Feb 2015, 1:30 pm
Mergers and acquisitions (M&A) dealers and their agents are exempt from registration when effecting a qualified M&A transaction. [read post]
9 Apr 2014, 11:54 am
Thus, the Court held the Poffenberger discovery rule to not apply to these private causes of action under the Act.The Court analyzed next whether CJ §5-203 applied to the private causes of action under the Act. [read post]
5 Feb 2016, 6:00 am
So far we are aware of one Form Funding Portal that has been filed to begin the registration process. [read post]
11 Jul 2017, 8:14 am
Investment advisers may withdraw from registration by electronically filing with the IARD a Form ADV-W, Notice of Withdrawal from Registration as Investment Adviser.Other IA topics. [read post]
4 Aug 2021, 6:34 am
In April, the company raised $85 million through a private sale of preferred shares. [read post]
13 May 2024, 3:42 pm
The question in this case is whether the failure to disclose information required by Item 303 can support a private action under Rule 10b–5(b), even if the failure does not render any “statements made” misleading. [read post]
