Search for: "Merchant v. Merchant" Results 21 - 40 of 2,351
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13 Feb 2024, 9:09 am by CFM Admin
Of the 23 Exemptions, the following are relevant to entities that operate in the investment management space: Any broker or dealer of securities that is registered under Section 15 of the Securities Exchange Act of 1934 (the “Exchange Act”); Any entity registered with the SEC under the Exchange Act; An investment company under Section 3 of the Investment Company Act and registered with the SEC; An RIA (please note that state registered investment advisers and ERAs that are… [read post]
28 Dec 2023, 7:03 am by Evan Brown
Kelly Toys Holdings, LLC v. 19885566 Store et al., 2023 WL 8936307 (S.D.N.Y. [read post]