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8 Dec 2021, 7:27 am by CFM Admin
Disclosure documents that are materially inaccurate or incomplete must be promptly corrected, and redistributed to pool participants. [read post]
8 Dec 2021, 11:27 am by CFM Admin
Disclosure documents that are materially inaccurate or incomplete must be promptly corrected, and redistributed to pool participants. [read post]
13 Nov 2020, 6:14 am by John Jascob
" Behnam urged industry players to pool their intelligence, innovation, and the entrepreneurial spirit of the derivatives market that has existed for decades, and work together to solve the climate problem. [read post]
7 Jan 2015, 4:34 am by David DePaolo
B255678, Craig Schultz worked as a technical drafter for JT3, a provider of testing, tactics and training support for the U.S. [read post]
19 Feb 2012, 9:37 am
Hutin YJF, Pool V, Cramer EH, et al. (1999). [read post]
14 Aug 2010, 5:49 pm
Hutin YJF, Pool V, Cramer EH, et al [read post]
22 Jun 2017, 5:12 am by Amy Howe
” February sitting (February 21 to March 1)  Hernandez v. [read post]
8 Jul 2010, 7:00 am by Kurt Schulzke
  There are just too many FCA cases and too few assistant U.S. attorneys to follow them all. [read post]
15 Dec 2017, 9:01 am by CFM Admin
SEC RIAs to pooled investment vehicles may avoid both the quarterly statement and surprise examination requirements by having audited financial statements prepared for each pooled investment vehicle in accordance with generally accepted accounting principles by an independent public accountant registered with the Public Company Accounting Oversight Board (“PCAOB”). [read post]
15 Dec 2017, 9:01 am by CFM Admin
SEC RIAs to pooled investment vehicles may avoid both the quarterly statement and surprise examination requirements by having audited financial statements prepared for each pooled investment vehicle in accordance with generally accepted accounting principles by an independent public accountant registered with the Public Company Accounting Oversight Board (“PCAOB”). [read post]
1 Feb 2023, 9:01 pm by renholding
As everyone in this room knows, the foundational U.S. securities laws were passed in response to the 1929 stock market crash that preceded the Great Depression. [read post]