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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]
12 Jul 2007, 5:49 am
One of the largest investors in Brink’s is maintaining pressure on the security company to split up to boost its flagging stock price. [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]
5 Jun 2015, 1:56 pm
According to a Form Reg-D filed with the Securities and Exchange Commission (SEC), Hampshire Generational Fund is a limited liability company that is exempt from registration with the SEC. [read post]
9 Mar 2021, 3:00 am
In fact, ICA Section 3(c)(1) provides an exclusion from investment company registration for a fund that: (i) does not publicly offer its securities; and (ii) has 100 or fewer beneficial owners, while Section 3(c)(7) of the ICA provides an exclusion from investment company registration for a fund that: (i) does not publicly offer its securities; and (ii) limits its owners to qualified purchasers. [read post]
22 Dec 2020, 7:03 am
SEC and CFTC funding. [read post]
6 Sep 2022, 9:03 am
Broadway Strategic Return Fund, LP is a fund “that invests in securities related to theatrical productions”, according to the press release. [read post]
15 Dec 2019, 10:12 am
The post REI Energy 2018-A Drilling and Income Fund Securities Investigation appeared first on The White Law Group. [read post]
1 Dec 2011, 3:34 pm
Footnotes [1] The reason 3(c)(1) funds are usually limited to accredited investors is that doing so makes it easier for the fund to conduct a Rule 506 offering, exempting the fund’s securities from the registration provisions of the Securities Act of 1933. [read post]
13 May 2020, 6:48 am
The SEC says that it sought comments from the public “on the framework for addressing names of registered investment companies that are likely to mislead investors about a fund’s investments and risks pursuant to section 35(d) of the Investment company Act of 1940, rule 35d- thereunder, and the antifraud provisions of the federal securities laws. [read post]
27 Oct 2006, 5:17 am
In what could be the start of yet another explosive scandal in the mutual fund industry, the Securities and Exchange Commission has launched an investigation into 27 mutual fund companies that the agency says accepted kickbacks totaling hundreds of millions of dollars in recent years, The Wall Street Journal reported. [read post]
28 Jun 2018, 11:49 am
In June of this year, the Securities and Exchange Commission settled charges with 13 firms that serve as registered investment advisers to private funds for failing to file Form PF. [read post]
28 Jun 2022, 6:40 am
Summary On May 25, 2022, the Securities and Exchange Commission (the “SEC”) voted 3 to 1 [1] (Commissioner Peirce dissenting) to propose certain amendments [2] to Rule 35d-1 [3] (the “Names Rule”) under the Investment Company Act of 1940 (the “Investment Company Act”). [read post]
28 Jun 2022, 6:40 am
Summary On May 25, 2022, the Securities and Exchange Commission (the “SEC”) voted 3 to 1 [1] (Commissioner Peirce dissenting) to propose certain amendments [2] to Rule 35d-1 [3] (the “Names Rule”) under the Investment Company Act of 1940 (the “Investment Company Act”). [read post]
12 May 2017, 5:43 am
Securities and Exchange Commission and the Georgia Securities Division. [read post]
4 Aug 2011, 3:40 pm
The company has purportedly created 14 different real estate funds. [read post]
4 Dec 2019, 11:55 am
At a mutual fund industry conference held on December 3, 2019, Dalia Blass, director of the Securities and Exchange Commission’s Division of Investment Management, previewed a new structure for registered mutual funds seeking to invest substantially in digital assets and related investments. [read post]
6 Jun 2023, 8:12 am
NEW YORK, June 6, 2023 /PRNewswire/ -- The INX Digital Company, Inc. [read post]
16 Sep 2015, 6:00 am
Related articles Insider Trading - The Legal and IllegalIntroduction to the Federal Securities LawsRegistration and Regulation of Investment Advisers [read post]
18 Feb 2016, 12:58 pm
The offering memorandum for the fund also limited how much the fund could hold in a single security. [read post]
