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17 Apr 2017, 1:42 pm
These Reg D private placements are then typically sold by brokerage firms in exchange for a large up front commission, usually between 7-10%, as well as additional “due diligence fees” that can range from 1-3%. [read post]
19 Feb 2007, 10:00 pm
Id. 10. [read post]
23 Jun 2007, 8:39 am
So what does all this mean in real dollars? [read post]
15 Nov 2017, 7:39 pm
¶ 10. [read post]
6 Feb 2013, 6:21 am
., one that might with equal probability reap a 30% profit or a 10% loss) plus a risk-free asset with a very low but certain return. [read post]
1 Jul 2008, 8:21 pm
, School Library Journal (July 1, 2008), Ellyssa Kroski does a fantastic job discussing most of what libraries and librarians need to know to get started with Twitter. [read post]
9 Oct 2016, 6:21 am
Ergo, CETA does not guarantee German investors any rights in Germany. [read post]
9 Jun 2013, 3:03 pm
§ 274a.2(b)(1)(vii). [read post]
31 Dec 2013, 10:00 am
Current Regulation A, however, tailors those requirements for smaller companies and does not mandate ongoing reporting after the offering is completed. [read post]
16 Dec 2015, 4:26 pm
The anti-fraud liability provisions of Section 17 of the Securities Act will also apply, as will Section 10(b)of the Exchange Act and Rule 10b-5 thereunder. [read post]
11 Jan 2022, 7:10 am
While ComplexDiscovery regularly highlights this information, it does not assume any responsibility for content assertions. [read post]
2 Oct 2013, 1:13 am
The press release also states that the whistleblower does not wish to be identified. [read post]
19 Nov 2020, 6:10 am
This post is based on their recent paper. 1. [read post]
15 Jun 2011, 2:36 pm
John Does 1-10 (Case No. 2:11-cv-03700), filed this week in the U.S. [read post]
30 Jun 2011, 11:42 am
The final rules define “venture capital fund” as a private fund that: 1) holds no more than 20% of the fund’s capital commitments in non-qualifying investments (other than short-term holdings); 2) does not borrow or is not leveraged except for a limited short-term borrowing; 3) does not offer redemption or liquidity rights to its investors; 4) represents itself to investors as pursuing a venture capital strategy; and 5) is not… [read post]
31 Aug 2012, 6:00 am
The information is general in nature and does not constitute legal advice or any contractual obligations. [read post]
15 Oct 2009, 4:31 pm
According to Investment News, between September 1 and October 1, 2009, Schwab lost 7 out of 10 YieldPlus Finra arbitration cases. [read post]
21 Jul 2010, 4:38 pm
Not have been in operation for more than 10 years. [read post]
25 Feb 2018, 6:58 pm
Meaning that for the vast majority of investors, the likelihood is “very high” that the person soliciting their funds will not be the exception that does well — the most likely best outcome for almost all investors is that your investment manager will produce average results. [read post]
4 Dec 2015, 8:09 pm
Mar. 1, 2015). [read post]
