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15 Mar 2017, 7:00 am
Typically, convertible noteholders are offered the same price as that used in the subsequent financing round or at a discount, which is meant to compensate them for the increased risk associated with the initial investment. [read post]
16 Sep 2014, 8:36 pm
In association with Bloomberg Law [read post]
9 Mar 2009, 7:06 am
It is American Bankers Association v. [read post]
21 Sep 2021, 5:14 am
Recent studies external icon have shown substantial increases in healthcare-associated infections during the pandemic in central line-associated bloodstream infections (CLABSIs), catheter-associated urinary tract infections (CAUTIs), ventilator-associated events (V.A.E.s), and methicillin-resistant Staphylococcus aureus(MRSA) bacteremia. [read post]
29 Dec 2022, 2:32 pm
As with any other investment that fluctuates with market activities, there are risks associated with buying and selling. [read post]
17 Jan 2014, 12:13 pm
Conflicts of Interest Inherent in Certain Investment Adviser Business Models—The SEC notes that non-compliance with the Advisers Act often arises from unaddressed conflicts of interest, identifying the following common types of conflicts related to investment advisers and investment companies: Compensation arrangements for the adviser, with a particular focus on undisclosed compensation arrangements and their effect on recommendations made to clients; Allocation of… [read post]
22 Jan 2024, 6:00 am
RESET’s goals include encouraging the private sector to invest in blue and […] The post Rockville’s Abt Associates to lead five-year USAID program to promote climate finance in Caribbbean appeared first on Maryland Daily Record. [read post]
21 Oct 2010, 1:53 pm
However, because deductions associated with tax-exempt income are disallowed, the excess is treated as a dividend out of current earnings and profits. [read post]
12 Apr 2016, 9:15 am
Daria Kim, Max Planck Institute for Intellectual Property and Competition Law Research Fellow (2012-2013) and the Chinese University of Hong Kong Faculty of Law Research Associate (2013-2014), has published “Protecting Trade Secrets Under International Investment Law: What Secrets Investors Should Not Tell States,” John Marshall Review of Intellectual Property Law, Vol. 15 (2), 2016. [read post]
21 Jan 2021, 7:12 am
., Royal Alliance Associates, Inc., Securities America Advisors, Inc, Summit Financial Group, Inc., and American Portfolios Financial Services. [read post]
10 Dec 2017, 6:59 am
From June 2009 until August 2013 Heiden was associated with Morgan Stanley. [read post]
21 Aug 2023, 1:35 am
Ashcroft said his first-in-the-nation rule may help guide other states looking to regulate ESG investing. ( PLURIBUS NEWS ) Proposed NAIC Rule Could Limit Private Investments The National Association of Insurance Commissioners, which sets standards for the industry, has proposed a rule that would allow it to override credit ratings assigned to some investment deals, effectively limiting how much money insurers could devote to such deals. [read post]
17 Dec 2013, 4:40 am
The professional association for Organizational Ombuds has contemplated hiring an executive director for years. [read post]
12 May 2009, 7:04 am
The Atlanta Turnaround Management Association presents… A Series of Interdisciplinary Educational Programs For Lenders, Attorneys, Turnaround Consultants, Investment Bankers and other Professionals When: June 3, 9, 16 and 23, 2009, from 6:00 to 8:15 p.m. … [read post]
18 Jun 2020, 8:58 am
Diamond is one of a number of financial representatives currently or formerly associated with Kalos who has been accused of marketing securities products to investors even when they were inappropriate for them. [read post]
29 May 2012, 9:54 am
“One of the comments that has been made about the Investment Canada process is that it’s fairly black box. [read post]
5 Aug 2019, 11:39 am
Mackay, in January of 2012, reportedly associated with Transamerica Financial Advisors, Inc., and was registered with FINRA as an Investment Company and Variable Contracts Products Representative, and an Investment Company and Variable Contracts Products Principal, the AWC notes. [read post]
5 Aug 2019, 11:39 am
Mackay, in January of 2012, reportedly associated with Transamerica Financial Advisors, Inc., and was registered with FINRA as an Investment Company and Variable Contracts Products Representative, and an Investment Company and Variable Contracts Products Principal, the AWC notes. [read post]
7 Sep 2018, 7:38 am
According to the regulator’s complaint, Grenda, whom the SEC barred in 2015 from associating with another investment adviser, continued to be associated with the firm. [read post]
30 Dec 2011, 1:06 pm
One of the most popular vehicles for investment fraud includes unregistered securities such as private placements. [read post]
