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3 Oct 2020, 7:14 pm
See also RCW 61.12.150 (providing for disbursement of Surplus Funds following a judicial foreclosure). [read post]
10 Mar 2021, 10:08 am
At the same time, growth equity funds can provide significant amounts of capital, typically taking minority positions in a company. [read post]
26 Mar 2021, 11:03 am
Federal and state securities laws also provide remedies to investors who purchased securities through these unregistered agents. [read post]
31 Jan 2011, 11:57 am
NAIDW’s purpose is to provide short-term financial assistance to injured & disabled workers and their families as a result of injury, illness or disability. [read post]
11 Sep 2009, 12:34 pm
The National Science Foundation (SES-0921008) is funding training for full, associate, and assistant professors to attend a 5-day workshop offered by the Institute for Behavioral Genetics. [read post]
14 Mar 2012, 9:44 am
In a letter to ESMA, the Managed Funds Association notes that the definition of “sovereign issuer” in the Regulation is broad in that it goes beyond a simple reference to each EU Member State. [read post]
22 Apr 2010, 10:15 am
Harris Associates L.P. [read post]
1 Jun 2020, 7:55 am
FINRA Bars Timothy Johnson After Funds Conversion Allegations FINRA requested information from Johnson, which he failed to provide. [read post]
20 Nov 2007, 10:24 am
On an annual basis, every community association in Colorado must provide detailed information to the homeowner-members, including but not limited to the association’s budget, the assessments levied against each type of unit, and various insurance policies covering the association. ? [read post]
21 Jul 2009, 8:31 am
" SIGTARP said the results indicated that institutions receiving TARP funds are capable of providing fuller transparency than is currently required of them: "Although most banks reported that they did not segregate or track TARP fund usage on a dollar-for-dollar basis, they were able to report on actual or planned activities that were supported by TARP funds as well as macro benefits associated with having the funds. [read post]
10 Nov 2022, 7:00 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
14 Mar 2021, 6:10 am
The World Trade Center Health Program helps provide medical treatment for victims of the 9/11 attacks who suffered a known injury or diagnosis associated with exposure to the dust cloud around Ground Zero and Lower Manhattan. [read post]
30 Mar 2009, 4:38 pm
Is there a change in New York State law afoot on the use of the state guarantee fund by an agent in a sales situation? [read post]
19 Nov 2007, 10:53 am
The Free Software Foundation announced Monday it has created an expert witness fund to help assist defendants sued by the Recording Industry Association of America for copyright infringement. [read post]
26 Aug 2011, 3:21 pm
This transitional relief, which is similar to the relief that the SEC provided in connection with the hedge fund manager registration rule in 2004, is necessary to allow advisers to continue to operate their businesses without significant disruption. [read post]
4 May 2011, 11:26 am
In response to the required frequency of account statement delivery under NI 31-103 Registration Requirements and Exemptions, the Mutual Fund Dealers Association of Canada (MFDA) has released guidance to assist its members in assessing the issues respecting sending account statements by electronic means. [read post]
1 Jul 2014, 3:00 am
Fund Acctg., Operations & Compliance Forum Location: New York, NY Date: July 30, 2014 Sponsor: Hedge Funds Care – Help for Children Event: New York Young Professionals Summer Event Location: New York, NY Date: July 31-Aug 1, 2014 Sponsor: Financial Advisor Event: Alternative Investments Strategies Location: Denver, CO **** Cole -Frieman & Mallon provides legal services for hedge fund managers and other groups within the… [read post]
16 Jun 2019, 6:21 am
Message from the Comptroller As Comptroller of New York State and Trustee of the Common Retirement Fund (CRF), I am deeply concerned about the impact of climate change on the Fund’s investments, as well as its impact on the economy as whole. [read post]
31 Mar 2024, 7:40 am
Condominium association directors who are charged with such infractions as ballot forgery, embezzlement of association funds, obstruction of justice, and destruction of records must be removed from office. [read post]
31 May 2011, 12:31 pm
FINRA also charged David Lerner Associates with providing misleading information on its website regarding the Apple REIT Ten distributions. [read post]
