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8 Apr 2011, 2:55 pm
While the $10 million threshold has been incrementally increased over the years from the $1 million level initially set in 1964, the 500 shareholder of record requirement has never been updated. [read post]
27 Jul 2011, 5:33 pm
These investors are generally very wealthy people who are 1) inherently private and 2) usually very busy doing wealthy person stuff. [read post]
9 Jul 2018, 4:25 am
Tier 2 Unaccredited Investor Limit – In a Tier 2 offering, an unaccredited investor can purchase no more than: (a) 10% of the greater of annual income or net worth (for natural persons); or (b) 10% of the greater of annual revenue or net assets at fiscal year end (for non-natural persons). [read post]
17 Oct 2007, 5:15 am
Offered changes included: (a) shareholders holding 1% of stock in a company could nominate board members; (b) board members must certify that they have no dealings with the company; (c) stockholders are permitted to vote on CEO pay; (d) shareholders with more than 10% of the stock should be granted a seat on the board; and (e) 10 year term limits for all board members. [read post]
26 Mar 2009, 1:05 pm
The fraudster collects the fee and then the purchase does not occur. 8) Fake Promises of Initial Public Offerings (IPOs): Investors often seek to purchase stock when it is first being offered to the public. [read post]
3 May 2012, 8:26 am
That agreement, filed with an 8-K on Tuesday, pays him another $10 million for retiring, beginning on the same date as he’s scheduled to get his retention bonus: the first day of the year after the year in which he turns 68, or January 1, 2019. [read post]
14 Jun 2011, 7:17 am
Banker, July 10, 2007, at 1). [read post]
25 Oct 2010, 8:00 am
But if it means “realistically unattainable” as the courts pretend that it does, the poison pill, in this context, meets that standard. [read post]
24 Jul 2017, 7:08 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
10 Dec 2018, 5:43 am
As a result, censures and orders to pay civil money penalties, assuming the penalties are paid in accordance with the order, are not disqualifying, and a disqualification based on a suspension or limitation of activities expires when the suspension or limitation expiresCertain SEC cease-and-desist orders where the Commission orders to cease and desist from violations and future violations of the scienter-based anti-fraud provisions of the federal securities laws, including, for example… [read post]
12 Jun 2020, 1:53 am
This is said to "enable[] both investors and providers of the financial product to make better-informed decisions concerning the value of the financial product" (page 2, last paragraph). [read post]
31 Aug 2023, 8:36 am
As attorneys rush to help the recent arrivals and outside investors adjust to our legal landscape, it is a worthwhile effort to consider how Florida law may be modernized and expanded to accommodate the legal baggage that these immigrants and investors bring with them. [read post]
24 Nov 2009, 9:12 am
In other words, even if passed by shareholders, it does not bind the board. [read post]
22 Jan 2024, 9:01 pm
During his tenure, the Commission adopted a very significant and impactful regulation — rule 146 under the Securities Act of 1933 (the “Securities Act”).[1] If rule 146 does not ring a bell, do not worry. [read post]
19 Nov 2017, 9:10 pm
However, if the property is sold as part of a going concern, IRAP does not apply. [read post]
19 Nov 2017, 9:10 pm
However, if the property is sold as part of a going concern, IRAP does not apply. [read post]
7 Feb 2011, 7:28 am
That’s a full 18.5% of the 67.5 million shares outstanding as of the 10-Q that the company filed December 1. [read post]
16 Nov 2015, 3:58 pm
For investors having more financial resources (and presumably acumen), the limit is 10%. [read post]
18 Mar 2021, 11:23 am
Reg A+ now does not impose investment limits on Accredited Investors (subject to the $75 million cap), although it does impose limits on investment by non-Accredited Investors. [read post]
30 Jan 2007, 2:49 pm
Does 1-10 (Fresno, CA)SONY v. [read post]
