Search for: "Security Funding Company "
Results 421 - 440
of 23,117
Sorted by Relevance
|
Sort by Date
20 Jun 2012, 5:00 am
Then it requires a re-visit to the first week of discussion in a securities law class over what is a security. [read post]
10 Nov 2017, 10:51 pm
Recently, the Securities and Exchange Commission (SEC) requested documents form a group of companies known as Woodbridge that has previously been accused of selling unregistered securities by state securities regulators. [read post]
16 Sep 2008, 7:21 pm
In my 25+ years working with the securities industry, I vaguely recall one money market fund going under a buck, and I also recall that the firm that ran the fund put additional money in to bring the NAV back to a dollar.Liquidation freezes on money market funds just don't happen. [read post]
10 Jul 2010, 4:05 am
Recent comments relating to Senator Byrd's approach to securing federal funding for West Virginia include:Federal funding is a shaky foundation for an economy because no one can replace Big Daddy. [read post]
16 Apr 2014, 5:33 am
On April 3, 2014, the SEC asked for comments on proposed Rule 33-9570, titled "Investment Company Advertising: Target Date Retirement Fund Names and Marketing. [read post]
27 Aug 2018, 12:34 pm
The Securities Exchange Commission on Tuesday filed charges against companies and “individuals” for selling Woodbridge Securities. [read post]
23 Oct 2013, 1:51 pm
If adopted, entrepreneurs and start-up companies looking for investors will be able to solicit over the Internet from the general public, a historic change in the regulatory structure regarding fund raising. [read post]
5 Oct 2022, 1:35 pm
The $100 million market valuation of Hometown International (HWIN), a publicly traded company whose sole asset is a small deli in rural New Jersey, has prompted a prominent hedge fund manager to sound the alarm about “quasi-anarchy” in the market. [read post]
3 Feb 2007, 3:49 am
Whittier with one count of securities fraud and three counts of failing to disclose to the SEC the ownership interest in companies in which hedge funds... [read post]
23 Jun 2022, 1:17 pm
According to security intelligence companies, the banking and financial industry is highly targeted for such information by individuals and criminal groups. [read post]
11 May 2009, 4:00 am
This is to separate typical company advertising if a company advertises with no intention to "offer or sell the securities of the issuer" then such advertising should not violate rule 502(c). [read post]
24 Mar 2015, 11:47 am
False opinions Giving a knowingly false opinion about a public company can expose the company and its insiders to liability for securities fraud under federal law. [read post]
1 Jun 2016, 9:15 am
According to the SEC’s order:Blackstreet charged fees to portfolio companies in one fund for providing operating partner oversight, but the fund’s limited partnership agreement (LPA) did not disclose that Blackstreet received such fees. [read post]
5 Jul 2013, 9:00 am
You may still want to hold on to some type of a reserve fund, even in retirement. [read post]
17 Feb 2018, 4:04 am
Add to this allegations that a major shareholder sold as the stock price was rising and the issuance of additional shares around the same time, and you have an interesting series of events which could lead to significant shareholder losses.Public company changes name to Riot Blockchain, ---Mark Astarita is a securities attorney with 30 years of national experience representing investors, funds and securities professionals in securities and computer fraud… [read post]
22 Feb 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a comprehensive framework of cybersecurity-related rules and amendments for investment advisers and investment companies. [read post]
22 Feb 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a comprehensive framework of cybersecurity-related rules and amendments for investment advisers and investment companies. [read post]
22 Feb 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a comprehensive framework of cybersecurity-related rules and amendments for investment advisers and investment companies. [read post]
22 Sep 2016, 5:42 am
[JURIST] The Securities and Exchange Commission (SEC) [official website] on Wednesday filed a civil suit [complaint, PDF] in federal district court against Leon Cooperman [Forbes backgrounder], billionaire and head of major hedge fund firm Omega Advisors [corporate website]. [read post]
22 Feb 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a comprehensive framework of cybersecurity-related rules and amendments for investment advisers and investment companies. [read post]
