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20 Aug 2014, 5:35 am
It looks a lot like the presence exam initiative for newly registered private fund managers and the never before examined initiative for unexamined advisers. [read post]
21 Nov 2019, 2:59 am
Overall, not much has changed: Since 2012, the market share for transfer agents engaged by active SEC registrants has remained fairly stagnant. [read post]
14 Oct 2015, 10:40 am
4:30pm-5:45pm - Panel 2: Concentrated Private Power: Efficiency Justifications and Broken MarketsRobert Hockett, Amy Kapczynski, Barry C. [read post]
25 Apr 2018, 6:17 am
The Summer School is subsidised, with registration limited to 30 applicants. [read post]
10 Jun 2013, 5:58 am
Affiliate Strategies, Inc., No. 5:09-CV-04104-JAR-KGS, 2011 WL 3300097, *2 (D. [read post]
4 Jun 2020, 5:00 pm
The SEC has also brought charges against several entities for registration violations under Securities Act Section 5 for their initial coin offerings, Enright said, citing the Commission’s enforcement actions against Munchee, AirFox, and Paragon. [read post]
29 Oct 2021, 10:55 am
Registration will open on Monday, 1 November. [read post]
10 Jan 2017, 11:24 am
It also sets up rules for private loans made on residential property not owned by the person doing the financing. [read post]
7 Apr 2014, 11:00 am
Contrast these costs with Phase 5, which is $219.99. [read post]
5 Mar 2012, 5:00 am
The Commodities and Futures Trading Commission decided to tighten the exemptions from registration potentially pulling some hedge funds and private equity funds that previously ignored the CFTC. [read post]
4 Feb 2022, 4:36 pm
WilliamsDecision Date: March 5, 2021 The U.S. [read post]
1 Feb 2012, 5:01 pm
This decision concerns the registration of an association of representatives pursuant to R 152(11).The appellant, a German legal practitioner (LP), together with 11 professional representatives (i.e. [read post]
18 Jul 2016, 8:37 am
Registration is at 12:15 p.m. and the event runs from 1 to 5:30 p.m., Tuesday, July 19 in the Cleveland-Marshall Moot Court Room. [read post]
11 Jan 2012, 12:01 am
According to its website, The Carlyle Group has invested $48 billion in 414 private equity transactions over 24 years, with almost 10% of this amount constituting its own capital. [read post]
27 Feb 2023, 9:01 pm
The court held that, at the pleading stage and accepting all allegations as true, plaintiffs adequately alleged that Dapper Labs violated Sections 5 and 12(a)(1) of the Securities Act of 1933 (Securities Act) by offering National Basketball Association (NBA) Top Shot Moments non-fungible tokens (Moments) without a registration statement. [read post]
30 Dec 2013, 6:33 am
On March 5, 2013, Isaacs entered into a Consent Order with the New Jersey Bureau of Securities agreeing to a three-year suspension from registration with the New Jersey Bureau of Securities and a $5,000 civil monetary penalty for dishonest or unethical practices in the securities business. [read post]
30 Mar 2010, 10:34 am
Second, an individual could identify on their own that they are subject to an existing order which would require an application with RAD.Third, if someone is seeking to transfer their registration to a new broker-dealer, then any existing state orders which would require an application with RAD as a result of the revised Rule 9520 Series would be disclosed by the CRD (the central licensing and registration system for the U.S. securities industry and its regulators) when it is… [read post]
6 Oct 2011, 7:38 am
Oct. 5, 2011). [read post]
17 Dec 2009, 1:57 am
The ultimate power in any company rests with the shareholders or the members except on very very limited issues like declaration of dividend.5. [read post]
26 Sep 2019, 10:39 am
Absent this regulation, such contact in most instances violated Section 5 of the ’33 Act as a solicitation of investment without an effective Registration Statement. [read post]
