Search for: "INVESTORS CAPITAL CORPORATION v. Brown"
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15 Dec 2017, 9:01 am
Statements must be sent to the fund or, in certain cases, investors in the fund, within 120 days after the fund’s fiscal year-end. [read post]
15 Dec 2017, 9:01 am
Statements must be sent to the fund or, in certain cases, investors in the fund, within 120 days after the fund’s fiscal year-end. [read post]
12 Dec 2017, 4:36 pm
” This week the SEC filed an administrative action against a California-based company selling digital tokens to investors to raise capital for its block chain-based food review service. [read post]
17 Nov 2017, 6:04 am
Norwitz, Sabastian V. [read post]
3 Mar 2017, 6:16 am
Companies Posted by Jennifer V. [read post]
21 Feb 2017, 1:58 pm
(Manuel Balce Ceneta/Associated Press) Tuesday, in Perry Capital LLC v. [read post]
16 Sep 2016, 6:08 am
Arlen and Marcel Kahan, NYU School of Law, on Wednesday, September 14, 2016 Tags: Accountability, Agency costs, Corporate crime, Corporate liability, Deferred prosecution agreements, DOJ, Liability standards, Management, Misconduct, Non-prosecution agreement, Securities enforcement, Settlements The Law and Brexit V Posted by Thomas J. [read post]
7 May 2015, 7:56 am
Judge Brown pointed out that Copley is unique among mutual funds because, unlike other most mutual funds, it is organized as a C Corporation, subjecting it to different tax treatment than a Regulated Investment Company (RIC). [read post]
11 Apr 2013, 10:12 am
The oral argument, before Circuit Judges Tatel and Brown and Senior Circuit Judge Sentelle, occurred against the backdrop of an earlier DC Circuit opinion, Business Roundtable v. [read post]
28 Mar 2013, 2:39 pm
., Peterson v. [read post]
24 Apr 2012, 2:00 am
Brown v. [read post]
11 Apr 2012, 9:57 pm
” United States v. [read post]
30 Mar 2012, 5:00 am
Robert Brown Jr. in The Race to the Bottom But in fact, the crowdfunding exemption included in the JOBS Act is not limited to amounts that investors can afford to lose. [read post]
29 Jul 2011, 5:23 pm
” See: Gomes v. [read post]
1 Jul 2011, 7:01 am
Research indicates that the decision in Shamil Bank v. [read post]
1 Jul 2011, 7:01 am
Research indicates that the decision in Shamil Bank v. [read post]
2 Jun 2011, 7:42 am
In the April 20 Letter and in a letter to Mayer Brown LLP dated April 7, 2011 (the “April 7 Letter”), the FPPC addresses issues related to the implementation of the following two exemptions: Employees, officers, or directors of an investment adviser are not placement agents required to register as lobbyists if all of the following apply: (1) the investment adviser is registered as an investment adviser under federal or state law, (2) the investment adviser has been selected… [read post]
18 May 2011, 9:25 am
XILINX, Inc. v. [read post]
7 Mar 2011, 7:35 am
” (U.S. v. [read post]
14 Feb 2011, 7:07 am
They bring in a sworn declaration from MERS Treasurer and Corporate Secretary, William Hultman on December 10th, that explains what an entirely fabulous and utterly wonderful invention MERS actually is, and then… I suppose afraid that the one Hultman declaration just might not carry the day they show up with yet another declaration from MERS Treasurer and Corporate Secretary, William Hultman on December 23rd. [read post]
