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14 Oct 2019, 8:30 am
The bill would amend the CFPA to address funding for senior investor protection. [read post]
20 Nov 2020, 6:01 am
” Though nothing else is revealed about this award, the SEC states that whistleblowers can receive between 10% and 30% of the money collected when the sanction is $1 million or more. [read post]
24 Jul 2011, 8:55 pm
Footnotes [1] It is possible for a Rule 506 offering to include non-accredited investors. [read post]
29 Apr 2015, 4:38 am
Avoid, Avoid, Avoid. 10-10-2011 VIEs In China. [read post]
7 Mar 2017, 6:53 pm
" Sec. 10-504. [read post]
7 Mar 2017, 6:53 pm
" Sec. 10-504. [read post]
17 May 2010, 4:21 pm
UPDATE 05-18-10. [read post]
5 Feb 2021, 3:54 pm
What does this mean for the regime? [read post]
14 Mar 2019, 5:49 am
These private placements offer investors a toxic cocktail of 1) illiquidity, meaning once your money goes in it does not come back out until GPB says it does, 2) speculative risk, meaning the highest risk investment product available, and 3) a poor risk/return profile, meaning the risk you are taking is not being compensated by some potential of a high return. [read post]
13 Jan 2015, 8:25 am
Delaney, investor protection is at its highest during the IPO process. [read post]
28 Apr 2010, 2:36 am
“Servicers can easily make 10 times any of the government stipends being offered by simply foreclosing on the house,” Russell said. [read post]
13 Jul 2011, 8:30 am
It does not appear that there are any grandfathering provisions that will be applicable and it is currently unclear whether managers will need to seek confirmation from current investors/clients as to whether such investors meet the new qualified client definition. [read post]
10 Aug 2021, 8:42 am
Whistleblower awards can range from 10-30% of the money collected when the monetary sanctions exceed $1 million. [read post]
29 Dec 2010, 7:59 pm
" That limited subset consists of seven items on Form ADV (Items 1, 2, 3, 6, 7, 10, 11), and the disclosure filed by exempt advisers would be publicly available. [read post]
30 May 2016, 6:13 am
A signature of institutional investor activism has been that it strives to influence corporate policies and governance, but does not aim for control. [read post]
27 Aug 2023, 12:25 pm
Whistleblower awards can range from 10 to 30 percent of the money collected when the monetary sanctions exceed $1 million. [read post]
1 Dec 2011, 3:34 pm
The 3(c)(1) exemption exempts from Investment Company Act registration any fund with 100 or fewer investors. [read post]
24 Sep 2007, 10:14 am
1 Elderlaw Advoc. [read post]
19 Sep 2007, 8:38 am
., lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com, (toll free)1-866-332-3567 www.aboutbrokerfraud.com What does subprime mean? [read post]
15 Nov 2017, 7:39 pm
Nonetheless, the Bureau does not oppose the motions to intervene filed by Ambac, the insurer for some of noteholders as well as an investor, and U.S. [read post]
