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27 May 2021, 1:36 pm
The Securities and Exchange Commission today filed a civil action alleging that investment advisers LJM Funds Management Ltd. and LJM Partners Ltd. and their portfolio managers, Anthony Caine and Anish Parvataneni, fraudulently misled investors…Read the Full Press ReleaseHave a securities law question? [read post]
7 Dec 2006, 12:41 am
Freedom of Information Filer& Archive secures fundingWell done to Tom and the team at My Society who have secured funding from the Rowntree Reform Trust for their Freedom of Information Filer and Archive(FOIFA) project and will start work early in the new year. [read post]
13 Oct 2021, 8:55 am
USA Today issued a recent article that identified some more permanent solutions to Social Security’s funding issues. [read post]
13 Jun 2010, 11:38 am
The United States' Social Security trust fund reserves are only expected to fully cover projected payments for the next 27 years and only 75% thereafter. 12 Ways to Fix Social Security is a May 18, 2010 article published in US News and World Report which outlines some alternatives recommended to Congress by the United States Senate Special Committee on Aging, outlined in the table below. [read post]
1 May 2019, 12:42 pm
The post Cypress Income Fund 11 | Securities Investigation appeared first on The White Law Group. [read post]
28 Mar 2017, 7:00 am
Securities Compliance Federal securities laws also govern the type of investors you can have in your fund, the information you must provide those investors, and the way you can market the offering. [read post]
2 Sep 2019, 8:47 am
Brown, Mutual Fund Advisory Fees: An Objective Fiduciary Standard, 21 U. [read post]
3 Dec 2020, 2:31 pm
Griffith, Opt-in Stewardship: Toward an Optimal Delegation of Mutual Fund Voting Authority, 98 Tex. [read post]
1 Apr 2022, 9:29 am
Chaffee, Index Funds and ESG Hypocrisy, 71 Case W. [read post]
27 Oct 2009, 7:25 pm
R. 3818 To amend the Investment Advisers Act of 1940 to require advisers of certain unregistered investment companies to register with and provide information to the Securities and Exchange Commission, and for other purposes. [read post]
3 Oct 2023, 12:01 pm
F. __ (2024): Social Security is funded by a regressive tax wherein wages below the wage cap ($160,200 in 2023) are taxed at a flat rate but wages above the cap are taxed at zero. [read post]
10 Oct 2011, 7:30 pm
In an effort to secure lucrative brokerage and trading business, big banks have become powerful recruiting forces for their biggest hedge fund clients. [read post]
24 Mar 2010, 11:32 pm
The U.S. securities regulator is probing hedge funds Appaloosa Management and Carlson Capital for certain trades, The Wall Street Journal said, citing people familiar with the matter. [read post]
23 Jan 2014, 9:00 am
Neither a funding portal, nor its officers, directors, partners or persons occupying a similar status with the funding portal, are allowed to: Have any type of financial interest in an issuer (the company raising capital) who is selling securities through the funding portal’s platform; or Receive a financial interest in an issuer as compensation for services provided to or for the benefit of an issuer in connection with the offer and sale of… [read post]
22 Feb 2023, 5:45 am
IMAGE: Saudi Riyal Banknotes showing King Salman of Saudi Arabia (via Getty Images) The post Why Mohamed bin Salman’s Slush Fund is an Urgent National Security Matter for Congress appeared first on Just Security. [read post]
27 May 2022, 5:56 am
Security Council. [read post]
30 Sep 2019, 1:09 pm
The Securities and Exchange Commission today charged SBB Research Group Inc., a Chicago-area hedge fund adviser and its two top executives with a multi-year fraud that inflated fund values. [read post]
27 Aug 2020, 1:52 pm
Recently, the Securities and Exchange Commission (SEC) requested information about the funds. [read post]
10 Oct 2009, 2:36 pm
If you are a hedge fund manager who is looking to start a hedge fund or if you are a current hedge fund manager with questions about the securities laws, please contact us or call Mr. [read post]
26 Jul 2024, 5:37 am
The Employee Retirement Income Security Act of 1974 (ERISA) is a federal law designed to protect the interests of employee benefit plan participants and their beneficiaries. [read post]
