Search for: "Securities and Exchange Commission v. Fiscal Fund"
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12 Jul 2018, 8:53 am
On April 18, 2018, the Securities and Exchange Commission (“SEC”) proposed new rules and amendments to certain rules and forms under the Investment Advisers Act of 1940, as amended (“Advisers Act”) and the Securities Exchange Act of 1934, as amended. [read post]
22 Dec 2020, 7:08 pm
Extension of Short-Time Compensation Funding Federal funding of Short-Time compensation, also known as Work-Share, is extended from December 31, 2020, to March 14, 2021. [read post]
19 Nov 2009, 4:13 pm
CFTC Regulation 4.22 Amended Earlier this year the Commodities Futures Trading Commission (“CFTC”) proposed amendments to certain Part 4 Regulations. [read post]
6 Apr 2022, 4:37 pm
Securities and Exchange Commission (“SEC”). [read post]
15 Dec 2022, 4:00 am
Audited financial statements must be sent to investors in the fund within 120 days after the fund’s fiscal year-end (or for fund-of-fund clients, within 180 days after fiscal year-end). [read post]
15 Dec 2022, 8:00 am
Audited financial statements must be sent to investors in the fund within 120 days after the fund’s fiscal year-end (or for fund-of-fund clients, within 180 days after fiscal year-end). [read post]
27 Jun 2008, 8:54 am
Federal Election Commission (PDF 176 KB)Decision Released June 26, 2008 That Deems Unconstitutional the "Millionaire's Amendment"06/26/2008
Supreme Court Opinion: District of Columbia v. [read post]
22 Apr 2019, 4:53 pm
The amendments also permit such reporting companies to meet their Regulation A ongoing reporting obligations through their Securities Exchange Act reports. [read post]
11 Aug 2011, 11:48 am
The SEC must adopt rules directing the national securities exchanges to prohibit the listing of any class of equity security of a company not in compliance with these mandates. [read post]
7 Feb 2011, 5:56 pm
Fund of Funds. [read post]
15 Dec 2017, 9:01 am
Every CA RIA that has custody of client funds or securities must maintain at all times a minimum net worth of $35,000. [read post]
15 Dec 2017, 9:01 am
Every CA RIA that has custody of client funds or securities must maintain at all times a minimum net worth of $35,000. [read post]
12 Sep 2009, 2:29 pm
On July 17, the Securities and Exchange Commission (SEC) published in the Federal Register proposed changes in proxy statement disclosure rules affecting executive compensation as well as other matters. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
4 Jan 2017, 3:55 pm
Statements must be sent to the fund or, in certain cases, investors in the fund, within 120 days after the fund’s fiscal year-end. [read post]
11 Apr 2022, 9:01 pm
Moreover, the Securities and Exchange Commission (SEC) reiterated in light of the COVID-19 crisis the importance of maintaining market integrity and adhering to corporate controls and procedures, particularly with respect to material nonpublic information (MNPI) and insider trading. [read post]
15 Aug 2010, 6:52 am
In 2007, I'd quoted from their 10-K (which is an annual report filed with the Securities and Exchange Commission) which informed us that: the company has a "significant level of indebtedness that could adversely affect our financial position," mostly spent to buy competing private prison companies. [read post]
19 Apr 2024, 9:27 am
The Securities and Exchange Commission (“SEC”) approved 11 spot Bitcoin exchange-traded funds (“ETFs”) on January 10, 2024, marking a historic moment in the crypto industry. [read post]
8 Dec 2021, 7:27 am
Audited financial statements must be sent to investors in the fund within 120 days after the fund’s fiscal year-end (or for fund-of-fund clients, within 180 days after fiscal year-end). [read post]
8 Dec 2021, 11:27 am
Audited financial statements must be sent to investors in the fund within 120 days after the fund’s fiscal year-end (or for fund-of-fund clients, within 180 days after fiscal year-end). [read post]
