Search for: "Security Funding Company "
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5 Dec 2018, 4:52 am
The new rules and amendments are intended to promote research on mutual funds, exchange‑traded funds, registered closed-end funds, business development companies, and similar covered investment funds by reducing obstacles to providing research on these kinds of funds. [read post]
23 Sep 2013, 7:02 am
Regulation on risk management and risk measurement with the use of derivatives, securities lending and repurchase transactions in investment companies are covered under the Investment Code. [read post]
17 Mar 2020, 11:25 am
Ninepoint Energy Fund Securities Investigation Have you suffered losses investing in Ninepoint Energy Fund? [read post]
24 Dec 2014, 10:54 pm
The portals do not handle funds or securities involved in the transactions. 4. [read post]
28 Mar 2016, 7:35 am
The Securities and Exchange Commission today charged a New York-based securities professional with defrauding two institutions he solicited to invest in a shell company he controlled whose name was deceptively similar to that of a legitimate private equity fund. [read post]
29 Oct 2021, 8:14 am
The SEC also alleges that the company and its co-founders “misappropriate[ed] a significant portion of the investor funds for personal use and other unrelated purposes. [read post]
18 Aug 2009, 2:16 am
If you are a hedge fund manager who is looking to start a hedge fund, or if you have questions about investment adviser registration with the SEC or state securities commission, please call Mr. [read post]
1 Mar 2012, 1:48 am
The firm must provide advice solely to one or more “qualifying private funds,” which includes Section 3(c)(1), Section 3(c)(7) funds and certain other funds that fall under an Investment Company Act of 1940 exception. [read post]
8 Jul 2013, 1:09 pm
This process includes a variety of considerations ranging from choice of jurisdiction, capital requirements and financing structure to securities law compliance and potential exit strategies. [read post]
9 Mar 2015, 8:28 am
Large fund holdings, as of September, included natural resources company Freeport-McMoran, shipping and deepwater drilling company DryShips, and drugmaker Dendreon. [read post]
18 Sep 2017, 12:50 pm
Investigating Potential Claims Involving Sonya Carmaco According to her FINRA BrokerCheck report, the United States Securities and Exchange Commission alleges that from 2004 until August 2017, advisor Sonya Camarco, while registered with LPL Financial, allegedly used her company Camarco Investments, Inc., to take over $2.8 million in investor funds from her clients and customers. [read post]
14 Oct 2010, 10:06 am
The plans consisted of investing funds into a mix of U.S. mutual funds and insurance products. [read post]
16 Aug 2014, 6:00 am
On July 23, 2014, the Securities and Exchange Commission (the “SEC”) adopted significant amendments (the “amendments”) to rules under the Investment Company Act of 1940 (the “Investment Company Act”) and related requirements that govern money market funds (“MMFs”). [read post]
11 Jul 2013, 5:30 am
On Wednesday, the Securities and Exchange Commission adopted a new rule that will allow private funds to advertise. [read post]
15 Nov 2016, 4:53 am
The soup company can only advertise securities issued by the company in accordance with the securities laws. [read post]
18 Mar 2020, 6:56 am
Ivy Energy Fund Securities Investigation Have you suffered losses investing in Ivy Energy Fund? [read post]
23 Jun 2011, 5:00 am
At an open meeting on June 22, the Securities and Exchange Commission adopted new rules under the Investment Advisers Act of 1940 aimed at investment advisers, private fund managers, venture capital funds, and family offices. [read post]
28 Jun 2007, 12:17 pm
There are any number of fees that are indirectly charged to the mutual fund investor, through charged by the investment company and the manager to the fund itself - charges that the investor never sees.Further complicating the issues is that many mutual funds have different classes of shares, an A share, a B share and a C share. [read post]
28 May 2020, 5:00 pm
Rowe Price Associates regarding the Term Asset-Backed Securities Loan Facility (TALF) in connection with the financial crisis relate to participation of funds and business development companies in TALF 2020, according to the staff. [read post]
15 Apr 2022, 7:10 am
Pre-IPO funds have become very popular over the last few years as many companies trade at a premium to their earlier value. [read post]
