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4 Mar 2022, 3:44 pm
Securities and Exchange Commission (“SEC”) released a proposal aimed at enhancing cybersecurity risk management programs, including cybersecurity preparedness and response, for registered investment advisers (“advisers”), investment companies and business development companies (“funds”). [read post]
10 Mar 2020, 7:48 am
Today, Everlaw further proved that point, announcing that it has secured a $62 million Series C funding, bringing its total funding to $96.6 million. [read post]
13 Dec 2009, 7:22 am
The Securities and Exchange Commission today charged GunnAllen stockbroker Frank Bluestein with fraud, alleging that he lured elderly investors into refinancing the mortgages on their homes in order to fund their investments in a $250 million Ponzi scheme. [read post]
24 Jan 2022, 7:34 am
Florida Financial Advisor Sold Tuscan Gardens Growth and Income Fund Securities Did you lose money while working with Delta Securities Company registered representative, Sean Donovan Casterline? [read post]
9 Jun 2009, 9:32 pm
Evergreen Investment Management Company, a Wells Fargo unit, has agreed to a $40 million settlement with federal and state regulators over allegations that it misrepresented securities in short-term bond funds. [read post]
14 Aug 2007, 1:43 am
The hedge funds were open-ended investment companies and intended to invest in various investments, including asset-backed securities, synthetic asset-backed securities, mortgage-backed securities, derivatives, options, swaps, and futures. [read post]
21 Aug 2022, 7:08 am
Moreover, because the company’s resources were not sufficient to fund operations for twelve months, “there is substantial doubt about the Company’s ability to continue as a going concern,” and the company may be forced to wind down its operations or liquidate the company’s assets. [read post]
8 Sep 2022, 5:01 am
Companies like Microsoft have improved their products’ security by making peace with those researchers. [read post]
7 Jul 2022, 6:31 am
The Investment Company Institute is writing to provide our views on the Securities and Exchange Commission’s proposal to require public companies to provide investors with consistent, comparable, and reliable information related to climate-related risks. [read post]
7 Jul 2022, 6:31 am
The Investment Company Institute is writing to provide our views on the Securities and Exchange Commission’s proposal to require public companies to provide investors with consistent, comparable, and reliable information related to climate-related risks. [read post]
18 Dec 2006, 5:48 am
The investors, Appaloosa Management, Cerberus Capital Management, Harbinger Capital Partners Master Fund, Merrill Lynch and UBS Securities, will buy $1.4 billion in preferred and [...] [read post]
18 Sep 2007, 7:08 am
The Securities and Exchange Commission is examining hedge funds for signs of insider trading, demanding information about relationships between managers, employees, family members and public companies, Bloomberg News reported. [read post]
29 Mar 2008, 9:22 am
To compound the problem, municipalities, non-profits, mutual fund companies, and other issuers have no obligation to redeem the auction rate securities, even though these were sold as safe and liquid as money market funds, according to Bloomberg.com. [read post]
20 Sep 2009, 1:00 pm
Donmoyer: The IRS will audit 6,000 U.S. companies to determine whether they pay all their required employment taxes to fund Social Security and Medicare benefits. [read post]
5 Oct 2017, 9:57 am
Congress enacted legislation which ushered in certain amendments to federal securities laws allowing for BDC’s — which are simply types of closed-end funds — to make investments in developing companies and firms. [read post]
16 Dec 2010, 5:19 pm
In approving the fund exemption from this restriction, the SEC concluded that such protections were less necessary because, among other reasons, the Investment Company Act requires a fund to obtain the approval of a majority of its voting securities before taking key actions, and this different regulatory regime supports the exemption. [read post]
8 Jun 2007, 12:14 am
Whittier, a former hedge fund manager and the founder of Wood River Partners LP and its offshore company in the Cayman Island, has pled guilty to carrying out a securities fraud scheme that cost investors $88 million. [read post]
28 May 2020, 1:26 pm
The COVID-19 Food Stability Fund, created through a collaboration by 11 local companies, announced Thursday the awarding of $659,000 in grants to 50 Baltimore organizations providing food to Baltimore children, families and seniors. [read post]
18 Mar 2024, 3:00 am
The annual Securities and Exchange Commission request for funding from Congress is not generally very interesting. [read post]
6 Jul 2009, 3:59 am
The fees for such bonds will be anywhere from $250 to $1,000 depending on a number of factors including the credit history of the managing member of the fund management company. [read post]
