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27 Nov 2014, 12:00 am
[xvii] Still operating today, the system is measured in hours, with one hour equaling $10. [read post]
7 May 2018, 10:25 pm
Factual BackgroundSix Delaware statutory trusts, identified as National Collegiate Student Loan Trusts 2003-1, 2004-1, 2004-2, 2005-1, 2005-2, and 2005-3 (the "Issuers" or the "Trusts"), were created between 2003 and 2005 to acquire pools of student loans, facilitate the issuance and sale of notes (the "Notes") backed by the private student loans (the "Loans") to investors (the "Noteholders"), and provide for the… [read post]
10 May 2022, 8:27 am
Chair Gensler’s now-famous remark since March 2, which lends support for the proposal, is “investors get to choose what risks to take, so long as the company they’re investing in fully discloses those risks. [read post]
23 Jul 2021, 11:01 am
Fortunately, FINRA does provide an arbitration forum for investors to resolve such disputes. [read post]
12 Nov 2019, 5:55 am
— Kevin O'Keefe (@kevinokeefe) November 10, 2019 Kevin, Taking investor money is similar to debt. [read post]
29 Jun 2018, 6:00 am
As part of that process, CorpFin does not even review certain filings that fail to meet minimal standards of completeness. [read post]
28 Mar 2007, 11:33 am
Even Tradesports provides useful grist for the academic mill.10. [read post]
12 Apr 2010, 7:24 pm
’s (“NASD”) bid test.Short selling involves the selling of a security that an investor or a trader does not have in possession when placing the sale order in the system. [read post]
9 Jun 2016, 2:37 am
The law does not just apply to sales over $2 million. [read post]
7 Aug 2011, 7:12 pm
Footnotes [1] Some may point to Rule 12h-1(f), which exempts employee stock option holders from the 499 investor limit, if certain conditions are met. [read post]
2 Jun 2011, 8:40 am
DLA earns 10 percent of all offerings of Apple REIT securities, composed of 7.5percent in commissions and 2.5 percent in selling fees. [read post]
25 Oct 2011, 4:38 am
NASD Regulation Inc. filed the original complaint, charging Fiero and his brokerage firm with practicing short selling securities in order to lower the price 10 NASDAQ securities. [read post]
11 Sep 2007, 4:50 pm
The respective legal liabilities are as follows:(1) Monopoly Agreement The undertaking of a monopoly agreement may face confiscation of the illegal gains and imposition of fines ranging from 1% to 10% of the total sales volume in the relevant market from the previous year. [read post]
20 Oct 2010, 12:43 am
District Court in Manhattan recently dismissed a securities class action brought by a proposed class of investors, alleging that the company and two of its senior officers violated Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and SEC Rule 10b-5 by making false or materially misleading disclosures about the company’s risk management and exposure to mortgage-related securities. [read post]
21 Apr 2023, 8:00 am
Reverse Stock Split – What does it mean for Shareholders? [read post]
18 Jul 2014, 6:00 am
Question #10 – EB5 Investor Visa For an E-B5 Visa, do I need previous business experience or a business degree? [read post]
29 Mar 2013, 9:41 am
While reviewing for “clear error,” the Fifth Circuit held “that § 1129(a)(10) does not distinguish between discretionary and economically driven impairment. [read post]
5 Apr 2012, 12:34 pm
—Title I establishes an on ramp to initial public offerings for a new category of issuers known as emerging growth companies, which are issuers that have total annual gross revenues of less than $1 billion. [read post]
31 Aug 2009, 12:30 pm
Although the reduction from 15 percent to 10 percent may be seen as an attractive feature for many Investors, we note that the FDIC’s elimination of an Investor’s ability to utilize Tier 1 noncommon equity elements to satisfy the capital requirement may partially offset the attractiveness of the reduced capital threshold. [read post]
Do state law fiduciary duties forbid directors from selectively disclosing confidential information?
11 Dec 2023, 4:04 pm
Oct. 1, 2012), vacated, (Del. [read post]
