Search for: "First Financial Investment Fund Holdings, LLC"
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3 Jan 2024, 1:36 pm
Real Estate Investment Trusts (REITs), unlike conventional corporations, fund projects using investors’ funds and distribute profits as dividends, often resulting in tax-exempt operations. [read post]
2 Jan 2024, 11:26 am
FINRA (Financial Industry Regulatory Authority) plays a critical role in ensuring the integrity of America’s financial system – all at no cost to taxpayers. [read post]
2 Jan 2024, 4:55 am
The dispute at the center of this week’s post stems from a poorly documented investment in Eagle Point Financial, LLC, a payment processing company originally owned by Hunter Lipton. [read post]
28 Dec 2023, 9:05 pm
Department of Labor rule allowing pension managers to consider environmental, social, and corporate governance factors when making investment decisions. [read post]
27 Dec 2023, 6:09 pm
The firm and its representatives also reportedly received 12b-1 fees for advising clients to invest in or hold such mutual fund share classes. [read post]
27 Dec 2023, 3:54 am
Always hold board and shareholder meetings, pay dividends, and maintain detailed books and records, and avoid commingling personal and company funds to maintain the separateness of the limited liability entity. [read post]
17 Dec 2023, 9:03 pm
First, existing laws and regulations apply to the crypto securities markets. [read post]
15 Dec 2023, 6:55 am
Did You Invest In Cattle Contracts With Agridime, LLC? [read post]
12 Dec 2023, 11:20 pm
The post GPB Capital Holdings Liquidation appeared first on The White Law Group. [read post]
11 Dec 2023, 9:05 pm
KKR Financial Holdings, , which conceptually followed M&F Worldwide by providing for case-dispositive standard shifting, albeit in non-controlling stockholder transactions. [read post]
11 Dec 2023, 1:18 pm
Entities subject to significant U.S. government regulation, specifically securities reporting issuers; governmental authorities; banks, credit unions, bank holding companies, and money service businesses; securities brokers/dealers, securities exchanges/clearing agencies, other entities registered under the Securities Exchange Act of 1934, investment companies and investment advisors, venture capital fund advisers, and insurance companies as defined under… [read post]
28 Nov 2023, 9:03 am
This section summarizes the total value of your stocks, bonds, mutual funds, other investments, and any cash and often breaks these investments down into categories. [read post]
21 Nov 2023, 2:26 pm
Instead, they saw their investment funds frozen. [read post]
17 Nov 2023, 9:54 pm
appeared first on Rincker Law. [read post]
15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
9 Nov 2023, 9:01 pm
For individuals, the compliance costs could be disproportionately large relative to their financial activity. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 Nov 2023, 9:04 am
These include, among others: Large operating companies (20+ full time employees and $5 million in gross receipts/sales); Public companies; Venture capital fund advisors; Pooled investment vehicles; Subsidiaries of certain exempt entities (must be wholly owned subsidiaries); Insurance companies and insurance producers; Certain other highly regulated entities, such as: Banks; Credit unions; Bank holding companies; Securities brokers or dealers; SEC-registered… [read post]
25 Oct 2023, 10:04 pm
Certain investor classes, such as venture capitalist funds, may not want to invest in LLCs and other pass-through entities because their partners have tax-exempt status. [read post]
