Search for: "Security Funding Company "
Results 801 - 820
of 23,157
Sorted by Relevance
|
Sort by Date
21 Jul 2018, 6:44 am
In the industry the term selling away refers to when a financial advisor solicits investments in companies, promissory notes, or other securities that are not pre-approved by the broker’s affiliated firm. [read post]
23 May 2012, 3:07 pm
Labor Department officials sued the company, and the officers for violation of the fiduciary responsibility rules of the Employee Retirement Income Security Act (ERISA). [read post]
9 Jun 2009, 2:13 pm
The SEC alleged that Evergreen inflated the value of mortgage-related securities in its Evergreen Ultra Short Opportunities Fund by as much as 17% between February 2007 and June 2008, when it closed and liquidated the fund, the Journal said. [read post]
12 Dec 2007, 6:25 am
Several investors in a failed Bear Stearns Hedge Fund recently filed arbitration claims against two subsidiaries of Bear Stearns Companies, Inc. -- Bear Stearns & Co., Inc. and Bear Stearns Securities Corp. [read post]
18 Nov 2022, 7:46 am
On 18 November 2022, the European Securities and Markets Authority (ESMA) published a consultation paper containing draft guidelines on funds’ names using ESG or sustainability-related terms. [read post]
22 Dec 2012, 7:27 am
The White Law Group is investigating potential securities fraud claims involving Z Seven Fund, a mutual fund offered by Top Fund Management. [read post]
30 Oct 2023, 1:15 pm
The Securities and Exchange Commission charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised. [read post]
10 Mar 2022, 1:02 am
The fund invests primarily in global corporate credit, including loans, bonds and other credit instruments that companies use to finance their operations. [read post]
16 Nov 2008, 6:32 pm
Fidelity Investments, the world's largest mutual fund company, will lay off 1,300 employees, or 3% of its work force this month. [read post]
6 Oct 2011, 3:19 pm
” A “qualifying investment” is one of three things: (i) an equity security issued by a “qualifying portfolio company” that is acquired directly by a private fund from such qualifying portfolio company; (ii) any equity security that is issued by a qualifying portfolio company in exchange for another equity security of such qualifying portfolio company[1]; and (iii) any equity security issued… [read post]
1 Nov 2011, 1:08 pm
The NYSE moved to delist the company because of its bankruptcy filing. [read post]
8 Jul 2009, 4:09 pm
PPIP is "initially" designed to "participate in the market for commercial mortgage-backed securities and non-agency residential mortgage-backed securities," by enabling the Treasury Department to "invest up to $30 billion of equity and debt in PPIFs [PPIP funds] established with private sector fund managers and private investors for the purpose of purchasing legacy securities," according to… [read post]
10 Mar 2019, 11:26 am
” According to SEC filings, the company filed a Form D for the offering ATEL Growth Capital Fund 9, to raise capital from investors in 2014. [read post]
15 Jul 2008, 2:39 pm
Fair Funds have also been created in proceedings against Fannie Mae ($350 million), Tyco ($50 million), and from mutual fund companies and third party institutions that engaged in "market timing" of those funds' shares (over $1 billion). [read post]
7 Mar 2011, 5:00 am
If your fund has securities, then you need a “qualified custodian” holding those securities. [read post]
7 Mar 2011, 5:00 am
If your fund has securities, then you need a “qualified custodian” holding those securities. [read post]
15 Jan 2020, 4:22 pm
Indexing also has been a runaway success for some fund companies. [read post]
22 Feb 2016, 6:01 pm
According to SEC filings, Aequitas Commodities Fund was organized in 2012 and headquartered in Lake Oswego, Oregon.This limited liability company is exempt from registration with the SEC. [read post]
19 Oct 2013, 10:49 am
At least 18 bonds in the Capstone Fund were non-income producing securities. [read post]
19 May 2013, 5:28 am
The SEC recently filed an emergency action in federal court in Atlanta, charging Robert Fowler (Fowler) and his company, US Capital Funding Series II Trust 1 (US Capital), with violations of the federal securities laws for defrauding investors in a... [read post]
