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27 Nov 2023, 7:44 am
(CRD# 6963) of Hato Rey, PR, and R-G Investments Corporation (CRD# 113293) of San Juan, PR. [read post]
27 May 2024, 10:00 pm
Explore the Practical Guidance Journal Spring 2024 Edition, featuring guidance on protecting attorney-client privilege and work product in a generative AI world, using AI to manage the attorney client relationship, an overview of privacy regulations in the United States, and a primer on the new Corporate Transparency Act requirements. [read post]
6 Nov 2023, 4:16 am
The statutory requirements governing a corporation’s use of a freeze-out merger are set forth in Article 9 of the BCL. [read post]
14 Mar 2012, 7:24 am
The key components of this rule are that the adviser use reasonable diligence in the account maintenance, and that the adviser know (and retain) the essential facts concerning the customer’s account. [read post]
20 Sep 2008, 3:49 am
But, of immediate interest to us is a debate in corporate governance that takes a leaf out of Fukuyama's book (or at least its title to begin with). [read post]
1 Nov 2018, 12:24 pm
According to the SEC, Faulkner “started the scheme in 2011 through privately held Breitling Oil and Gas Corporation (BOG), which offered and sold “turnkey” oil-and-gas working interests to investors using a team of commissioned cold-callers. [read post]
11 Jul 2022, 9:01 pm
This post comes to us from Wachtell, Lipton, Rosen & Katz. [read post]
23 Feb 2012, 2:43 pm
Kevin and Ed are optimistic for both the US and the New England economy, and find that businesses are “doing fine this year” in the US. [read post]
25 Apr 2023, 9:05 pm
No corporate leader wants to become the next Blockbuster video chain. [read post]
14 Oct 2013, 6:11 am
Using leverage may reduce the dividend the funds pay or reduce the value of your fund investment. [read post]
12 Jul 2008, 7:10 pm
Bernanke Asks Congress to Reform SEC's Consolidated Supervised Entity Regimefor Investment BanksLegislation is needed to authorize strong holding company oversight of large investment banks currently regulated under the SEC's consolidated supervised entity regime, said Federal Reserve Board Chair Ben Bernanke in testimony before the House Financial Services Committee. [read post]
4 Jul 2010, 2:25 pm
(This is Part 1 of a review of Ian Bremmer, The End of the Free Market: Who Wins the War Between States and Corporations? [read post]
12 Feb 2018, 7:36 am
Shulga is the co-founder of Ross & Shulga PLLC, a New York-based boutique law firm specializing in advising individual and corporate clients on aspects of corporate and securities law. [read post]
14 May 2014, 7:57 am
The staff of the Division of Corporation Finance of the U.S. [read post]
29 Jun 2008, 8:39 pm
The company defaulted on millions of dollars in bills for supplies and utilities while its CEO used corporate assets to launch a Nashville recording company and make other personal purchases. [read post]
20 Jan 2011, 5:00 am
The DC Circuit will give a close examination to the reasoning used by the Commission. [read post]
2 Jun 2010, 10:22 am
Perhaps most investors did not know how risky some of these investments were. [read post]
4 Oct 2018, 2:24 pm
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
12 Oct 2017, 8:16 am
It also covers scoring, credit default swap spreads, bond indexes, portfolio assessment tools, credit assessments, fund ratings, data feeds, and research, IOSCO said in a news release.IOSCO noted that although other CRA products (OCPs) and services are distinct from commonly identified issuer-paid or subscriber-paid traditional credit ratings, they may be used by market participants to make investment and other credit-related decisions. [read post]
2 Aug 2010, 9:32 pm
To qualify for the election, the foreign corporation or nonresident alien individual must derive revenue from the U.S. investment. [read post]
