Search for: "INVESTORS DOES 1-10"
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24 Mar 2015, 10:53 am
They are asking for comments, due by April 10. [read post]
4 Aug 2023, 9:31 am
Whistleblower awards can range from 10 to 30 percent of the money collected when the monetary sanctions exceed $1 million. [read post]
12 Apr 2012, 4:24 am
The JOBS Act amends the Securities Act, allowing a company that does not register with the SEC to raise up to $1 million in a year. [read post]
10 Oct 2023, 9:01 pm
Does the group guidance inappropriately downplay the importance of an “agreement” in group formation? [read post]
10 Oct 2023, 9:03 pm
Further, the final rules require passive investors who are not qualified institutional investors to file their initial Schedule 13G filings within five business days rather than 10 days. [read post]
15 May 2014, 3:14 am
The top 10 list includes some surprises: 1. [read post]
4 Feb 2011, 9:00 am
10:00 – 10:30 Keynote Speaker Carlo V. di Florio, Director, United States Securities and Exchange Commission, Office of Compliance Inspections and Examinations 10:30 – 10:50 Networking break 10:50 – 12:00 Panel: The new form ADV 2 part 2 - Most important required elements for the brochure - Addressing the most challenges aspects i.e. confidential information and fees - Handling updates and brochure supplements - Effective… [read post]
5 Jan 2021, 11:30 am
Thus, the SEC does not disclose any information that may reveal a whistleblower’s identity. [read post]
30 Nov 2016, 3:00 am
The post Time In the Market, Not Timing appeared first on The Biglaw Investor. [read post]
1 Aug 2017, 7:22 am
How does this happen? [read post]
17 Jul 2023, 9:05 pm
In partly holding for the defendants, the opinion ignores well established doctrine that interprets “investment contract”[1] and is inconsistent in its treatment of ordinary investors’ expectations as distinct from the expectations of sophisticated investors. [read post]
30 May 2011, 1:17 pm
Director Cross explained that the notion behind the accredited investor, and if you have $1 million net worth you fit in the definition, is that sometime in the early 1980s it was decided that these investors can fend for themselves and do not need the protection of the securities laws, thus allowing them to participate in unregistered private offerings. [read post]
9 Nov 2020, 3:00 am
Unlike Item 101(c)(1)(vii) of Regulation S-K, Item 101(h)(4)(vi) does not require a smaller reporting company to identify the name of any customer that accounts for 10% or more of its revenue. [read post]
30 Jun 2014, 3:26 pm
It would increase the maximum amount of a single public offering under the original Regulation A exemption (now often referred to as a “Tier 1” offering) from $5 million to $10 million. [read post]
30 Jun 2014, 3:26 pm
It would increase the maximum amount of a single public offering under the original Regulation A exemption (now often referred to as a “Tier 1” offering) from $5 million to $10 million. [read post]
5 Jan 2021, 11:32 am
These included a four-month suspension beginning 10/30/2020 and ends on 3/1/2021, and a fine of $5,000. [read post]
24 Apr 2012, 2:00 am
The Supreme Court, however, left that question open but did note that Section 17(a)(1) does not require the victim of the fraud be an investor – “only that the fraud occur ‘in’ an offer or sale. [read post]
29 Oct 2010, 8:39 am
1) Insight: What Will Happen If Republicans Win the House? [read post]
4 Oct 2011, 5:09 am
SEC Rule 504 allows a public offering to investors (including non-accredited investors) for securities offerings of up to $1 million. [read post]
15 Jun 2016, 10:05 am
Does she think that investors benefit from the “Properties” disclosures in most companies’ 10-Ks? [read post]
