Search for: "Julie Hedges"
Results 621 - 640
of 1,407
Sort by Relevance
|
Sort by Date
4 Jun 2014, 6:36 am
(Pix (c) Larry Catá Backer 2014)Venkatesh Nayak, Programme Coordinator, Access to Information Programme, Commonwealth Human Rights Initiative in New Delhi, has requested the circulation of the following essay, entitled "Promulgating Ordinances – Public Scrutiny and Judicial Review. [read post]
30 May 2014, 6:44 am
However, FINRA found that from January 1, 2008, to July 1, 2012, LPL failed to adequately supervise the sales of alternative investments that violated these concentration limits. [read post]
6 May 2014, 8:27 am
Congress does not want banks owning hedge funds and private equity funds, but still wants lending. [read post]
1 May 2014, 11:17 am
” Yet, as the FINRA press release revealed, these actions continued on until at least July, 1, 2012. [read post]
25 Apr 2014, 8:35 am
These are rules that sophisticated hedge fund managers will quickly learn in order to avoid prosecution and small unsophisticated investors likely won’t understand. [read post]
25 Apr 2014, 6:30 am
FINRA found that from January 1, 2008, to July 1, 2012, LPL failed to adequately supervise the sales of theses alternative investments that violated concentration limits. [read post]
3 Apr 2014, 4:22 pm
Together these are known as the Volcker Rule (hereinafter, the Volcker Rule or the Rule), which is designed to prohibit banks and their affiliates from engaging in risky, short-term, speculative trading and investing in private equity and hedge funds. [read post]
2 Apr 2014, 8:42 am
Foreign financial institutions (FFIs) of all description—banks, stockbrokers, hedge funds, pension funds, insurance companies, and trusts—will be required to report to the IRS annual information on all clients (both direct and indirect) who are US persons. [read post]
24 Mar 2014, 4:50 pm
These investment products apparently included non-traded RIETs, oil and gas partnerships, business development companies (BDCs), hedge funds, and managed futures. [read post]
16 Mar 2014, 2:48 pm
The House Financial Services Committee marked up and approved legislation clarifying that nothing in the Volcker Rule should be construed to require the divestiture, prior to July 21, 2017, of any debt securities of collateralized loan obligations, if such debt securities were issued before January 31, 2014. [read post]
14 Mar 2014, 3:25 pm
The SEC's complaint also alleges Dennis was informed by Teeple in July 2008 about Foundry's impending acquisition by another technology company. [read post]
26 Feb 2014, 11:15 am
Note that advisers to large hedge and liquidity funds must file on a quarterly basis within 60 days and 15 days, respectively, of quarter end. [read post]
23 Feb 2014, 8:15 pm
However, the scope of investment at KIC has been broadened to include inflation-linked bonds and commodities as well as private equity, real estate, hedge funds and special investments. [read post]
17 Feb 2014, 1:03 pm
Cohen and his SAC Capital Advisors hedge fund for ten years. [read post]
3 Feb 2014, 8:36 am
Hedges and Barry Jonas. [read post]
28 Jan 2014, 4:22 pm
July 19, 2013), in which judges dismissed Dodd-Frank retaliation claims by employees who only made complaints internally and did not report directly to the SEC before the alleged retaliation. [read post]
16 Jan 2014, 8:13 pm
The new case is Hedges, et al., v. [read post]
6 Jan 2014, 11:20 pm
The world of directors and officers liability has long been characterized by rapid change. [read post]
6 Jan 2014, 8:30 pm
Working with management and advisers to review the company’s business and strategy, with a view toward minimizing vulnerability to attacks by activist hedge funds.3. [read post]
6 Jan 2014, 8:12 am
He is accused of benefiting the hedge fund by $276 million in trades of Wyeth and Elan, using secret tips from a doctor supervising trials of an Alzheimer’s drug. [read post]
