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13 Nov 2021, 6:37 am
Two of Three FINRA Arbitrators Ironically Disappear In Unexplained Expungement Award (BrokeAndBroker.com Blog)Hudson Valley Tequila Producer Pleads Guilty To Securities Fraud Scheme (DOJ Release)Manhattan Real Estate Fund Manager Charged With Securities Fraud Offenses (DOJ Release)SEC Charges New York Fund Manager and His Company with Securities Fraud (SEC Release)SEC Obtains Judgment Against Former Corporate Controller for Tipping Brother-In-Law… [read post]
3 Oct 2017, 11:31 am
The post SEC Committee on Small and Emerging Companies Publishes Final Report and Addresses SOX 404(b) and Securities Act Rule 701 appeared first on Private Business Counsel. [read post]
21 Oct 2010, 10:17 am
The Securities and Exchange Commission (SEC) charged two Atlanta hedge fund managers with defrauding investors by allegedly hiding losses and stealing funds for their own personal use. [read post]
26 Jan 2012, 3:47 pm
If the MFA proposal were to be adopted, private funds would be able to engage in public communications and offering activity while remaining in compliance with Regulation D and corresponding sections of the Investment Company Act that exempt private funds from investment company registration if they do not engage in a public offering. [read post]
5 Feb 2010, 1:19 pm
On February 4, 2010, State Street Bank and Trust Company entered into a settlement with the Securities and Exchange Commission without admitting or denying the findings of the SEC in the settlement Order. [read post]
7 Dec 2009, 10:44 pm
PCAOB, the case the testing the constitutionality of the Public Company Accounting Oversight Board, a regulatory board created by the Sarbanes Oxley Act within the Securities and Exchange... [read post]
19 Feb 2008, 11:01 pm
The investment fund may also be used to bolster the country's energy security by acquiring coal mines and oil and gas blocks abroad.Prime minister Manmohan Singh has issued a directive to the finance ministry in this regard, and an announcement is likely in the Budget, an official said.According to officials, one of the options available to the government is to create a special purpose vehicle (SPV), which will borrow funds from RBI in the form of long-term… [read post]
1 May 2019, 12:42 pm
The company raises capital through private placement investments such as Cypress Income Fund 11. [read post]
14 Feb 2024, 12:20 pm
The Securities and Exchange Commission today proposed a rule that would update the dollar threshold for a fund to qualify as a “qualifying venture capital fund” for purposes of the Investment Company Act of 1940 (Act). [read post]
20 Sep 2023, 10:30 am
The Securities and Exchange Commission today adopted amendments to the Investment Company Act “Names Rule,” which addresses fund names that are likely to mislead investors about a fund’s investments and risks. [read post]
10 Sep 2020, 11:24 am
The post SEC Sues Geoffrey Thompson For Fraudulent Securities Offering In Failed Cannabis Company, Covalent appeared first on Securities Arbitration Lawyers Blog. [read post]
18 Aug 2020, 5:44 am
The post Silver Law Group Represents Par Funding Investors appeared first on Securities Arbitration Lawyers Blog. [read post]
19 Nov 2010, 4:03 pm
Only invests in equity securities of private operating companies to provide primarily operating or business expansion capital (not to buy out other investors), U.S. [read post]
29 Jan 2009, 2:44 pm
Hedge funds that want to avoid the requirements of the Investment Company Act would be exempt only if they file basic disclosure forms and cooperate with requests for information from the Securities and Exchange Commission. [read post]
5 May 2009, 11:55 am
On May 5, 2009, the SEC filed a civil action in the United States District Court for the Southern District of New York charging the entities and individuals who operate The Reserve Primary Fund, including the Reserve Management Company, Inc.... [read post]
14 Oct 2022, 11:50 am
Western Asset Macro Opportunities I (LAOIX), an open-ended fund sponsored by Western Asset Management Company, LLC., is one of worst performing bond funds of 2022, according to Financial Advisor Mag, As you many know, the federal reserve increased the interest rate again in September to 3% to 3.25%., (In May it was 0.75% to 1.00%). [read post]
20 Dec 2011, 11:36 am
Here, for example, is the certificate for a subordinated debenture issued by Equity Funding of America, the company that starred in Dirks v. [read post]
20 Aug 2008, 10:53 pm
Webb is accusing the defendants of misrepresenting a bond fund as a low risk 401k-investment option, when in fact, the SSgA Yield Plus Fund was invested in mortgage-based securities. [read post]
27 Jun 2011, 5:00 am
The SEC extended the deadline for private fund managers to register with the Securities and Exchange Commission as investment advisers from July 21, 2011 to March 30, 2012. [read post]
22 Dec 2022, 10:19 am
In some instances, these macroeconomic factors are translating into securities litigation. [read post]
