Search for: "K-One Investment Company Inc."
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12 Oct 2022, 1:47 pm
The payment technology firm Block, Inc. [read post]
2 Oct 2022, 12:47 pm
According to a BrokerCheck report the customer complaints concern alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. [read post]
24 Aug 2022, 5:01 am
The Securities and Exchange Commission (SEC) conducts regular examinations of broker-dealers and investment firms and has made “identification and assessment of cybersecurity risks” one focus of those exams since at least its 2014 Risk Alert. [read post]
14 Aug 2022, 8:22 am
Background FAST Acquisition Corp. is a special purpose acquisition company (SPAC). [read post]
7 Jul 2022, 5:01 am
When looking at the current situation in Ukraine, where one of the greatest challenges Ukrainian forces are facing is how to counter Russia’s strong artillery fire on a more than 620-mile-long front, Finland’s motives for investing in artillery become clear. [read post]
16 Jun 2022, 9:05 pm
One Commissioner who dissented on policy grounds nevertheless noted that the SEC’s “disclosure regime related to environmental issues including climate change is highly developed and robust, and registrants are well aware of, and have decades of experience complying with, these disclosure requirements. [read post]
7 Jun 2022, 3:29 am
Company Sells Majority Stake after Lawsuits Amidst a myriad of problems for the Parking REIT including 3 pending class action lawsuits, and allegations of fraud against one of the company’s executives, the company agreed in January to sell a majority stake to an affiliate of Bombe Asset Management LLC, a Cincinnati-based alternative asset management firm, according to an 8-K… [read post]
25 May 2022, 9:01 pm
Regulation S-K Two items in Regulation S-K focus on the disclosure of material risks and uncertainties affecting corporate operations: Item 105 and Item 303. [read post]
10 May 2022, 8:27 am
He proclaimed, moreover, that requiring numerous climate disclosures on Form 10-K will severely distract many small companies from their main mission—capital raising—which is also one of the SEC’s missions. [read post]
5 May 2022, 9:01 pm
Sophisticated investors, i.e., hedge funds that specialize in distress investing, are therefore in a difficult position. [read post]
27 Apr 2022, 7:02 am
His previous employers include Paulson Investment Company, Inc. [read post]
12 Apr 2022, 9:01 pm
Investors look for relevant information in filings like the 10-K when assessing an investment decision. [read post]
12 Apr 2022, 1:34 pm
Twitter, Inc. [read post]
31 Mar 2022, 2:22 pm
One address is a private address used to send Bitcoins. [read post]
9 Mar 2022, 7:47 pm
Aside from the added SEC requirements directly applicable to market participating or influencing companies, the protections intended to protect investors against undisclosed or improperly managed cyber-related risks to their investments also are likely to impact the cybersecurity practices of organizations that provide investments or investment related services with respect to employee benefit plans and the disclosures they provide. [read post]
15 Feb 2022, 2:05 pm
” Investment companies and investment advisors must register and are subject to various restrictions, including on compensation. [read post]
22 Jan 2022, 11:31 pm
Or they may have angel investments in California that start generating profit, after a long startup period, reflected in a K-1. [read post]
21 Jan 2022, 12:59 pm
GWG Holdings, Inc. announced that it would not make dividend payments on its L Bonds for January 15, 2022 in a form 8-K filed with the Securities and Exchange Commission (SEC). [read post]
19 Jan 2022, 2:35 am
July 1, 2020 – GWG Holdings, Inc. [read post]
10 Jan 2022, 4:24 am
Miami Beach v McGraw-Hill Companies, Inc., 120 AD3d 1052, 1056 [1st Dept 2014]). [read post]
