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24 Nov 2013, 6:03 am
The Fidelity Funds are publicly-held entities organized under the Investment Company Act of 1940. [read post]
15 Oct 2015, 6:42 am
The Jumpstart our Business Startups Act, commonly referred to as the “JOBS Act,” was signed into law in 2012 as a way to incentivize funding of United States emerging growth companies by easing various securities regulations. [read post]
15 Dec 2021, 9:25 am
The Securities and Exchange Commission today voted to propose amendments to certain rules that govern money market funds under the Investment Company Act of 1940. [read post]
6 Aug 2013, 10:26 am
July 24, 2013), the First Circuit held that a private equity fund could be liable for its bankrupt portfolio company’s withdrawal liability imposed under Title IV of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”) on the basis of the private equity fund constituting a “trade or business” under ERISA’s controlled group rules. [read post]
12 Apr 2019, 8:06 am
appeared first on Securities Arbitration Lawyers Blog. [read post]
22 Sep 2010, 1:15 pm
But many companies that issue such short-term debt, concerned about refinancing on short notice, are now seeking longer-term funding instead. [read post]
30 Nov 2009, 4:38 am
Other companies affected by the Columbia fund include Getty Images. [read post]
9 Feb 2022, 8:16 am
The Securities and Exchange Commission today voted to propose rules related to cybersecurity risk management for registered investment advisers, and registered investment companies and business development companies (funds), as well as amendments to…Read the Full Press ReleaseHave a securities law question? [read post]
12 Jan 2019, 8:17 am
Mackenzie Income Fund 27– Securities Investigation Are you concerned about your investment in Mackenzie Income Fund 27? [read post]
7 Mar 2023, 12:52 pm
., an independent investment banking firm that provides advisory services to middle market and emerging growth companies in the United States and worldwide, today announced that it represented Quick Shift Capital LLC (“Quick Shift”) in securing commercial debt financing from Synovus Bank; the funding is set to […] [read post]
22 Aug 2023, 6:30 am
The Securities and Exchange Commission, by a vote of 3 to 2, approved significant changes to Rule 2a-7 and other rules that govern money market funds under the Investment Company Act of 1940 (Amendments) on July 12, 2023. [1] Among other things, the SEC: adopted a new mandatory liquidity fee framework under Rule 2a-7 for institutional prime and institutional tax-exempt money market funds in lieu of the proposed swing pricing framework; removed the redemption gate… [read post]
22 Aug 2023, 6:30 am
The Securities and Exchange Commission, by a vote of 3 to 2, approved significant changes to Rule 2a-7 and other rules that govern money market funds under the Investment Company Act of 1940 (Amendments) on July 12, 2023. [1] Among other things, the SEC: adopted a new mandatory liquidity fee framework under Rule 2a-7 for institutional prime and institutional tax-exempt money market funds in lieu of the proposed swing pricing framework; removed the redemption gate… [read post]
14 Feb 2013, 2:50 pm
The company invests in partnerships, leases, and portfolio acquisitions of equipment in transportation, energy, and industrial sectors. [read post]
17 Dec 2013, 6:00 am
-Based Holding Company for Internal Control Failures SEC order against GLG Partners SEC Charges London-based Hedge Fund Adviser with Valuation Failures by Jay B. [read post]
17 Nov 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on November 2, 2022, by a 3-2 party line vote, proposed amendments (the Proposal) to the liquidity risk management programs rule (Rule 22e-4) under the Investment Company Act of 1940, as amended; and amendments that would require certain funds to implement “swing pricing” and impose a “hard close” on the acceptance of purchase and redemption orders. [read post]
17 Nov 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on November 2, 2022, by a 3-2 party line vote, proposed amendments (the Proposal) to the liquidity risk management programs rule (Rule 22e-4) under the Investment Company Act of 1940, as amended; and amendments that would require certain funds to implement “swing pricing” and impose a “hard close” on the acceptance of purchase and redemption orders. [read post]
17 Nov 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on November 2, 2022, by a 3-2 party line vote, proposed amendments (the Proposal) to the liquidity risk management programs rule (Rule 22e-4) under the Investment Company Act of 1940, as amended; and amendments that would require certain funds to implement “swing pricing” and impose a “hard close” on the acceptance of purchase and redemption orders. [read post]
17 Nov 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on November 2, 2022, by a 3-2 party line vote, proposed amendments (the Proposal) to the liquidity risk management programs rule (Rule 22e-4) under the Investment Company Act of 1940, as amended; and amendments that would require certain funds to implement “swing pricing” and impose a “hard close” on the acceptance of purchase and redemption orders. [read post]
17 Nov 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on November 2, 2022, by a 3-2 party line vote, proposed amendments (the Proposal) to the liquidity risk management programs rule (Rule 22e-4) under the Investment Company Act of 1940, as amended; and amendments that would require certain funds to implement “swing pricing” and impose a “hard close” on the acceptance of purchase and redemption orders. [read post]
17 Nov 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on November 2, 2022, by a 3-2 party line vote, proposed amendments (the Proposal) to the liquidity risk management programs rule (Rule 22e-4) under the Investment Company Act of 1940, as amended; and amendments that would require certain funds to implement “swing pricing” and impose a “hard close” on the acceptance of purchase and redemption orders. [read post]
