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15 Mar 2017, 7:00 am
The equity in a corporation is called stock, but LLCs have equity as well, often referred to as membership interests. [read post]
10 Mar 2017, 3:59 pm
In 2007, Swart invested $50,000 in Cypress Equipment Fund XII, LLC (“Cypress LLC”) and acquired a 0.2% membership interest, Swart’s sole connection with California. [read post]
10 Mar 2017, 3:59 pm
In 2007, Swart invested $50,000 in Cypress Equipment Fund XII, LLC (“Cypress LLC”) and acquired a 0.2% membership interest, Swart’s sole connection with California. [read post]
10 Mar 2017, 3:50 pm
Black (Feb. 16, 2017), the court of appeal held that a single promissory note, negotiated one-on-one, to fund an investment in real property was not a security under the California Corporate Securities Law even though the note offered a share of profits to the lender as an alternative to fixed interest. [read post]
10 Mar 2017, 3:50 pm
Black (Feb. 16, 2017), the court of appeal held that a single promissory note, negotiated one-on-one, to fund an investment in real property was not a security under the California Corporate Securities Law even though the note offered a share of profits to the lender as an alternative to fixed interest. [read post]
7 Mar 2017, 4:28 pm
Reprinted with permission from the March 6, 2017 edition of The National Law Journal © 2017 ALM Media Properties, LLC. [read post]
6 Mar 2017, 4:26 pm
Legislative history suggests that that Congress intended to make clear that, in cases brought by the SEC or DOJ, the Securities Act, the Exchange Act, and the Investment Advisers Act have extraterritorial application. [read post]
3 Mar 2017, 6:16 am
Berman, Vinson & Elkins LLP, on Saturday, February 25, 2017 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Cybersecurity, Duty to inform, FCPA, Financial advisers, Private equity, Private funds, SEC, SEC enforcement, Securities enforcement, Securities regulation Should Mutual Funds Invest in Startups? [read post]
27 Feb 2017, 5:00 am
The primary materials for this case may be found on the DU Corporate Governance website. [read post]
17 Feb 2017, 1:28 pm
The manager of each EB-5 investment fund is the primary party responsible for monitoring the EB-5 fund’s investment in the EB-5 project. [read post]
17 Feb 2017, 1:28 pm
The manager of each EB-5 investment fund is the primary party responsible for monitoring the EB-5 fund’s investment in the EB-5 project. [read post]
13 Feb 2017, 11:00 am
Compared to traditional investments, such as stocks, bonds and mutual funds, non-traded REITS, are considerably more complex. [read post]
9 Feb 2017, 1:23 pm
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
29 Jan 2017, 12:40 pm
Vest Investment Services, Inc. [read post]
18 Jan 2017, 6:40 am
Ct. 758 (2016) – In this unanimous ruling, the Supreme Court reversed and remanded a breach of fiduciary duty claim under the ERISA on the grounds that ERISA fiduciaries that manage publically-traded employee stock investments in 401(k) plans need not overcome a presumption of prudence. [read post]
16 Jan 2017, 8:24 am
Proceeds from Brookfield’s investment, anticipated to begin in March 2017, will be used to repay outstanding preferred equity interests, ARC Hospitality debts, fund additional acquisitions and property improvement plans, as well as general corporate purposes. [read post]
10 Jan 2017, 7:20 am
He serves on the board of Community Investment Partners, which is the registered investment advisor of the Calvert Foundation, and is also a board member of the New York Community Investment Company, LLC, a CDVC fund. [read post]
4 Jan 2017, 3:55 pm
Section 16 filings are required for “corporate insiders” (including beneficial owners of 10% or more of a registered voting equity security). [read post]
3 Jan 2017, 4:28 pm
For example, Burford, which at its founding invested 100% of its funds in individual cases, in 2015 invested just 13% in individual cases. [read post]
2 Jan 2017, 12:04 am
Chmielewski used more than $7.3 million from the company’s reserve accounts for his own personal investments. [read post]
