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28 Sep 2008, 9:23 pm
The only creditors likely to get anything out of the fund are the holders of WaMu’s $7 billion senior unsecured debt, who possible will get not more than 27 cents on the dollar. [read post]
28 Jan 2009, 9:40 am
Huffman assured investors that he "operated like a mutual fund. [read post]
12 Nov 2023, 9:05 pm
Take, for example, ETFs: Like money market funds, they rely on exemptions from other SEC rules regulating mutual funds. [read post]
28 Jun 2012, 9:42 am
The broker received a commission for the purchase of the mutual fund at the time it was bought and now receives another commission for the purchase of the REIT. [read post]
12 Oct 2017, 4:29 am
The three-year limitations period accrues “when the malpractice is committed, not when the client discovers it” (Williamson v Price WaterhouseCoopers LLP, 9 NY3d 1, 7-8 [2007]). [read post]
23 Dec 2013, 11:01 am
Chelliah recommended that the customers liquidate their mutual fund shares. [read post]
13 Jul 2018, 10:25 am
Compared to traditional investments, such as stocks, bonds and mutual funds, REITs are significantly more complex and often better suited for sophisticated and institutional investors. [read post]
7 Sep 2010, 9:55 am
First Derivative Traders (09-525) — Securities fraud liability of investment adviser to a mutual fund for the fund’s misleading statements about trading practices. [read post]
17 Jul 2008, 6:12 pm
Auction rate securities, which were sold to many investors as "cash equivalents" are long term bonds which are issued by cities, non profit organizations, student loan agencies, and closed end mutual funds, whose interest rates reset by auction every 7 to 35 days. [read post]
9 Jul 2008, 9:18 am
Auction-rate securities, writes the Journal, allow issuers such as municipalities and student loan companies, closed-end mutual funds or financial institutions to borrow money for the long term but at short-term, or lower, interest rates. [read post]
7 Nov 2016, 8:44 am
The REIT structure was designed to provide a real estate investment structure similar to the structure mutual funds provide for investment in stocks. [read post]
3 May 2011, 9:00 am
Arson. 7. [read post]
20 Jun 2012, 1:42 pm
If you directly hold shares of a U.S. mutual fund you do not need to report the mutual fund or the holdings of the mutual fund. [read post]
19 Nov 2012, 12:29 am
In their November 15, 2012 complaint (here), seven public pension funds (including CalPERS and CalSTRS) and dozens of mutual funds from four separate mutual fund families have filed a separate lawsuit against the company and five of its individual directors and officers. [read post]
26 Dec 2016, 7:51 pm
[Thinking about the racialization of religious groups, especially the "Jews" as a globally useful avatar of the other (here)]. 7. [read post]
11 Jul 2011, 1:15 pm
It should be noted that the valuation of mutual fund securities in the Form 31-103F1 is based on the net asset value (NAV) as determined in accordance with National Instrument 81-106 Investment Fund Continuous Disclosure and is unaffected. [read post]
25 May 2023, 9:01 pm
The government stepped in yet again to stabilize short-term funding markets, establishing the Money Market Mutual Fund Liquidity Facility[16] and other programs. [read post]
6 Jul 2016, 9:49 am
Leonard Allen Goldberg (CRD #223972, Rancho Mirage, California) Goldberg consented to the sanction and to the entry of findings that he caused over $123,600 in losses to five customers Disciplinary and Other FINRA Actions 23 June 2016 while making over $77,900 for himself and his member firms by using discretion without the requisite written authorization in connection with 300 mutual fund and exchange traded fund (ETF) transactions to his benefit and the… [read post]
7 Jun 2019, 6:09 am
Securities & Exchange Commission, on Wednesday, June 5, 2019 Tags: Broker-dealers, Conflicts of interest, Fiduciary duties, Investment advisers, Investor protection, SEC, SEC rulemaking, Securities regulation The Past and Present of Mutual Fund Fee Regulation Posted by Quinn Curtis (University of Virginia), on Thursday, June 6, 2019 Tags: Asset management, Fiduciary duties, Fund… [read post]
20 Jul 2020, 7:00 am
BoiseJuly 7, 2009Thirty years ago, one of the world’s largest offshore financial centres was the island of Curaçao in the Netherlands Antilles. [read post]
