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11 Jun 2024, 9:01 pm
In fact, each of the registered funds and private funds sectors surpasses the size of the banking sector. [read post]
8 Sep 2022, 9:01 pm
”[7] My predecessor Jay Clayton said it, and I will reiterate it: Without prejudging any one token, most crypto tokens are investment contracts under the Howey Test. [read post]
25 Dec 2019, 9:06 pm
Are Mutual Funds Bad for U.S. [read post]
20 Jan 2009, 1:48 pm
Security Types Involved in Arbitration Cases Type of Security* 2004 2005 2006 2007 YTD 2008 Corporate Bonds 188 106 82 71 163 Certificates of Deposit 20 31 28 16 31 Mutual Funds 1,221 888 679 395 1,069 Options 299 153 155 110 149 Common Stock 2,557 1,348 1,257 790 773 Limited Partnerships 36 24 21 19 33 Annuities 596 460 446 243 236 Variable Annuities** … [read post]
16 Nov 2020, 6:16 am
If any amount remained in the settlement fund following distribution of all claimants’ awards, such sums would be donated by Bear to the New York Times 9/11 Fund. [read post]
7 Dec 2018, 5:50 am
Posted by , on Friday, December 7, 2018 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of November 30–December 6, 2018. [read post]
17 Jan 2020, 11:11 am
Some other statistics: Over 3,700 RIAs each manage more than $1 billion in assets; Approximately 36 percent of RIAs manage a private fund; Over 60 percent of RIAs are affiliated with other financial industry firms; and Approximately, 12 percent of RIAs provide advisory services to a mutual fund, exchange-traded fund, or other registered investment company. [read post]
17 Jan 2020, 11:11 am
Some other statistics: Over 3,700 RIAs each manage more than $1 billion in assets; Approximately 36 percent of RIAs manage a private fund; Over 60 percent of RIAs are affiliated with other financial industry firms; and Approximately, 12 percent of RIAs provide advisory services to a mutual fund, exchange-traded fund, or other registered investment company. [read post]
31 Jan 2011, 12:05 pm
Such a “nonbank financial company” could be, for example: (i) an insurance company; (ii) a securities firm; (iii) a mutual fund group; (iv) a private equity or hedge fund group; or (iv) a finance or lending company. [read post]
4 May 2011, 2:08 pm
debit CLASSIC United States of America Washington Mutual Bank ???????????????? [read post]
13 May 2021, 2:24 pm
*********************** For over forty years, public pension funds and other institutional investors have relied on class actions to preserve their individual claims for recovery under the U.S. securities laws. [read post]
11 Feb 2012, 1:43 am
These two arbitrators shall appoint by mutual agreement a third arbitrator, the Chairperson, who shall be a national of a third State. [read post]
1 May 2010, 7:15 am
Are hedge funds a less authentic constituency in Chapter 11? [read post]
18 May 2009, 1:21 am
The money would be paid from funds formerly controlled by Stanford's companies, the same funds that would pay back any potentially defrauded investors. [read post]
17 Nov 2010, 8:13 am
So positive is good, and if you were able to run a mutual fund portfolio over 10 years with an information ratio of 0.5, I think that would put you in the top quartile or higher in terms of active performance.So why doesn’t everybody use ESG information to uncover alpha? [read post]
16 May 2023, 9:01 pm
” DESCRIPTION[3] From 2017, Goldman Sachs Asset Management (“GSAM”) offered two mutual funds and a separately managed account strategy marketed as ESG investments. [read post]
24 Sep 2024, 9:01 pm
In administering the Investment Company Act, the Division develops regulatory policy for investment companies, which include mutual funds, money market funds, closed-end funds, business development companies, unit investment trusts, variable insurance products, and exchange-traded funds. [read post]
17 Sep 2015, 1:27 pm
The subaccounts are generally in mutual funds or stocks or bonds and so what you are doing with the variable annuities you are giving yourself the opportunity for some growth but you’re of course taking on the same risks that you would in anything else. [read post]
5 Sep 2012, 2:00 am
The following is our monthly featured post from Terry Nelson and Peter Fetzer of Foley & Lardner filling you in on the latest developments affecting investment advisers, hedge funds, and mutual funds. [read post]
21 Apr 2020, 2:15 pm
If not, now is the time to do so, as we hear that funding for this program is quickly drying up. [read post]
