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28 Jun 2017, 3:00 am
Shaw Laminar Portfolios, LLC (“D.E. [read post]
31 Mar 2021, 3:02 am
Ass ‘n of Political Consultants, Inc., 140 S. [read post]
7 Jan 2013, 6:00 pm
GGGF and Gabelli granted special secret favors to one particular hedge fund investor in GGGF, Headstart Advisors, Inc., in exchange for Headstart’s promise to invest in a hedge fund run by Marc Gabelli. [read post]
1 Feb 2010, 6:36 am
Ironically, this initiative also represents a return to an organizational structure the Division followed for many years in which a significant portion of the staff was divided into groups along industry lines for investment advisers and broker-dealers. [read post]
13 Apr 2020, 4:19 pm
Notably, the increase in frequency of Exchange Act securities class actions since 2018 has coincided with the end of the longest running bull market in U.S. history.[12][13] As a result, more fervent shareholder recovery efforts can be expected as the fiduciary duties of institutional investment managers are tested and global investors in the U.S. capital markets seek nontraditional equity investment returns. [read post]
8 Dec 2021, 7:27 am
On an annual basis, Securities and Exchange Commission (“SEC”) registered investment advisers (“SEC RIAs”) are required to provide natural person clients with a copy of the firm’s privacy policy if: (i) the SEC RIA has disclosed nonpublic personal information other than in connection with servicing consumer accounts or administering financial products; or (ii) the firm’s privacy policy has changed. [read post]
8 Dec 2021, 11:27 am
On an annual basis, Securities and Exchange Commission (“SEC”) registered investment advisers (“SEC RIAs”) are required to provide natural person clients with a copy of the firm’s privacy policy if: (i) the SEC RIA has disclosed nonpublic personal information other than in connection with servicing consumer accounts or administering financial products; or (ii) the firm’s privacy policy has changed. [read post]
9 Jan 2012, 8:15 am
Had it proceeded, the proposed acquisition by London Stock Exchange plc of TMX Group Inc. may have proved another challenge under the ICA. [read post]
21 Jan 2024, 9:01 pm
In Seven & i Holdings Co., Ltd. and 7-Eleven, Inc. [read post]
3 Dec 2012, 7:00 am
Non-lawyer Investment in U.S. [read post]
5 Apr 2009, 1:26 pm
In December 2008, after the Securities and Exchange Commission (”SEC”) concurred in the exclusion of shareholder proposals seeking greater disclosure of risks related to mortgage investments at Washington Mutual, a coalition of over 60 investors called on then President-Elect Obama to limit the ability of companies to exclude shareholder proposals related to corporate risk evaluation.[10] The corporate governance challenges for the companies being targeted by… [read post]
9 Jul 2021, 10:11 am
PayPal Zettle Comes to U.S., Enabling in-Person and Omnichannel Digital PaymentsVending Market Watch – July 9, 2021 PayPal Holdings Inc. is bringing PayPal Zettle to the U.S. [read post]
8 Jan 2012, 12:56 pm
Time Inc., 1989 WL 79880 at *30 (Del. [read post]
1 Feb 2012, 9:07 am
U.S. prosecutors in Washington in 2010 decided not to bring charges against former American International Group Inc. [read post]
20 Jun 2008, 8:47 am
District Judge Thomas Porteous of New Orleans, La. to the House of Representatives for Impeachment06/19/2008
Manager's Package to the Commerce, Justice and Science Appropriations Bill for Fiscal 2009, S.G.W. 202 (PDF 193 KB) As Adopted by the Senate Appropriations Committee on June 19, 2008
© Copyright GalleryWatch.com, Inc. (1999 - 2008), provided under license.NO CLAIM TO ORIGINAL U.S. [read post]
27 Feb 2017, 9:22 am
The opinions expressed are those of the author(s) and do not necessarily reflect the views of the firm, its clients, or Portfolio Media Inc., or any of its or their respective affiliates. [read post]
9 Oct 2013, 7:06 am
This blog is derived from ISS' 2013 Proxy Season Review - United States, which can be found on Governance Exchange. [read post]
2 Oct 2010, 10:47 am
Insider trading makes executives’ portfolios’ long not the company but long the volatility of the company. [read post]
11 Jan 2012, 6:56 am
Under a voluntary agreement with the Securities and Exchange Commission, the largest U.S investment banks were also subject to the form of Basel capital rules that existed in 2008. [read post]
18 Jul 2014, 10:40 am
The letter clarifies the conditions under which a CPO otherwise required to register (“Delegating CPO”) may delegate its CPO functions to another CPO (“Designated CPO”) and be relieved from a registration requirement under Section 4m(1) of the Commodity Exchange Act (the “CEA”). [read post]
