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8 Apr 2014, 7:18 am
On March 26, the European Securities and Markets Authority (ESMA) published a Questions and Answers paper on the application of the European Social Entrepreneurship Funds (EuSEF) Regulation (Regulation 346/2013) and the European Venture Capital Funds Regulation (EuVECA) (Regulation 345/2013). [read post]
21 May 2010, 12:26 pm
Bellia, Jr., a former branch manager, was barred permanently from association with any securities firm in a principal capacity and ordered to pay a $10,000 fine. [read post]
1 May 2013, 9:56 am
Personal securities trading is difficult. [read post]
5 Oct 2012, 8:12 am
In the past, I have written about the importance of entrepreneurs and startups complying with federal and state securities laws when raising capital for their businesses. [read post]
7 Jan 2010, 6:19 am
The capital proposals define Tier 2 Capital by reference to nine criteria, generally consistent with existing standards for securities included in Tier 2 Capital. [read post]
21 Feb 2024, 8:54 am
The committee doesn’t challenge the legality of the investments but calls for policy changes to ensure U.S. venture capital isn’t allowed to bolster Chinese national security and surveillance efforts. [read post]
13 Dec 2018, 12:04 pm
The post FINRA Group Claim filed against Capital Financial Services appeared first on White Securities Law. [read post]
13 Jul 2009, 6:56 am
UBS, reportedly considering the sale of Paine Webber to raise capital, discussed a possible sale with Morgan Stanley late last year. [read post]
9 Jan 2024, 5:23 am
These developments signal a transformation for professionals invested in managing information ethically and securely. [read post]
5 Mar 2012, 6:40 pm
On February 28, House Majority Leader Eric Cantor (R-Va.) presented his Jumpstart Our Business Startups Act’s final version, which is comprised of six bills that would revise securities laws to make this capital flow happen. [read post]
4 Dec 2013, 9:13 am
Private equity funds will ofter enter into a loan secured by the investors’ capital commitments. [read post]
9 May 2012, 5:09 pm
On April 26, 2012, the Missouri Commissioner of Securities proposed revised regulations exempting certain private fund managers from investment adviser registration with the State of Missouri. [read post]
26 May 2016, 7:10 am
Earlier this month, the Securities and Exchange Commission (“SEC”) instituted an administrative proceeding against Blue Ocean Portfolios, LLC (“Blue Ocean”), an SEC-registered investment advisor with approximately $106 million in regulatory assets under management, and its Principal, CEO and Chief Compliance Officer, James A. [read post]
15 Mar 2019, 11:06 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
6 Mar 2012, 8:33 am
The money invested in the annuity is invested in “subaccounts” and the remaining income payments vary depending on the performance of the managed portfolio. [read post]
6 Mar 2012, 8:33 am
Collins, another advisor associated with Prime Capital falsified customer account forms. [read post]
8 Oct 2008, 12:28 pm
SAN FRANCISCO, Oct 07, 2008 (BUSINESS WIRE) -- Recommind, a leading provider of enterprise search, email management and eDiscovery systems for enterprises, today announced that it has secured the first institutional funding in the company's history. [read post]
Austin Dutton and Newbridge Securities Sanctioned By the State of Pennsylvania Over Securities Sales
10 Oct 2017, 7:54 am
In particular Dutton sold real estate investment trusts formerly managed by Nicholas Schorsch’s private firm, American Realty Capital (ARC), now AR Global. [read post]
10 Mar 2023, 7:24 am
Craffy had been registered with Monmouth Capital Management and previously was registered with Newbridge Securities Corp. [read post]
27 Nov 2020, 5:58 am
Acquisition Experience and Director Remuneration Posted by Addis Birhanu (Ecole de Management de Lyon), on Friday, November 20, 2020 Tags: Boards of Directors, Director compensation, Human capital, Management, Mergers & acquisitions Remarks by Chairman Clayton to the Economic Club of New York Posted by Jay Clayton, U.S. [read post]
