Search for: "Security Funding Company "
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2 Oct 2018, 8:14 am
Ironwood Institutional Multi-Strategy Fund LLC is a Delaware Limited Liability company registered as a closed-end, non-diversified, management investment company. [read post]
17 Mar 2020, 10:13 am
Investec Global Energy Fund Securities Investigation Have you suffered losses investing in Investec Global Energy Fund? [read post]
25 Apr 2009, 2:09 pm
Ameriprise Financial (4/08/09) -- an excessive mutual fund fees case under Investment Company Act section 36(b), reversed the district court's grant of summary judgment for the defendant because it found that the lower court... [read post]
9 Aug 2009, 9:35 am
Public Company Accounting Oversight Board, No. 08-861, by Donna M. [read post]
23 Jun 2009, 12:57 pm
SEC's Open Meeting Agenda for June 24, 2009 Money Market Fund Reform Office: Division of Investment Management The Commission will consider whether to propose amendments to rule 2a-7 and other rules under the Investment Company Act of 1940 governing the... [read post]
22 Sep 2009, 12:55 pm
The SEC, on September 18, adopted temporary Rule 30b1-6T under the Investment Company Act of 1940 to require money market funds to report portfolio holdings and valuation information to the Commission under certain circumstances. [read post]
17 Sep 2018, 11:23 am
Texas Central, the company that has been planning to build a bullet train between Houston and Dallas, has announced it has secured a loan of up to $300 million for the project. [read post]
1 Feb 2022, 8:44 am
MSC Income Fund (formerly known as HMS Income Fund) is a publicly registered, non-traded business development company (BDC) sponsored by Hines. [read post]
26 May 2017, 11:28 am
The Problem with Reg D Private Placements Private placements are a means for smaller companies to raise capital through the sale of equity or debt securities without having to register their securities with the SEC. [read post]
25 Mar 2021, 1:14 pm
Speak with a Securities Fraud Attorney at Zamansky LLC Do you have concerns about an investment you made in an ESG fund? [read post]
17 Mar 2020, 9:59 am
The Fund reportedly invests primarily (at least 70%) in equity securities of companies in the energy sector located in developed and emerging market countries. [read post]
13 Jan 2013, 5:34 am
Securities and Exchange Commission ("SEC") effectively froze the creation of actively managed and leveraged exchange traded funds ("ETFs") that utilize options, futures, swaps, and other derivatives as part of their investment strategies, the SEC has lifted the moratorium on the use of derivatives by actively managed funds while continuing to restrict the use of derivatives by leveraged ETFs. [read post]
14 Jan 2016, 11:23 am
The Fund invests in domestic and foreign equity securities of companies principally engaged in gold exploration, mining or processing of precious metals and minerals. [read post]
3 Mar 2015, 11:41 am
Pursuant to Rule 38a-1 of the Act, a fund must implement written policies and procedure designed to prevent the fund and its service providers from violating securities laws. [read post]
3 Mar 2015, 11:41 am
Pursuant to Rule 38a-1 of the Act, a fund must implement written policies and procedure designed to prevent the fund and its service providers from violating securities laws. [read post]
30 Jul 2019, 11:35 am
Booth, on December 7, 2005, reportedly became registered with INVEST Financial Corporation in Norwalk, CT as a General Securities Representative (GSR) Investment Company and Variable Contracts Products Representative (IR), General Securities Principal (GP), and an Investment Company ProductsNariable Contracts Principal (IP), FINRA notes. [read post]
30 Jul 2019, 11:35 am
Booth, on December 7, 2005, reportedly became registered with INVEST Financial Corporation in Norwalk, CT as a General Securities Representative (GSR) Investment Company and Variable Contracts Products Representative (IR), General Securities Principal (GP), and an Investment Company ProductsNariable Contracts Principal (IP), FINRA notes. [read post]
22 Jul 2016, 6:39 pm
The recent Panama Papers scandal has raised concerns of how money stashed in anonymous shell companies is used to evade taxes and fund international crime. [read post]
24 Jul 2011, 3:05 pm
A no-enforcement action letter request was granted by the Missouri Securities Division for a Missouri investment adviser to 3(c)(1) funds under the Investment Company Act of 1940. [read post]
27 Aug 2008, 8:29 pm
It provides for a number of amendments to securities law and corporate law applicable to domestic and international investors in public companies. [read post]
