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4 Apr 2007, 10:55 am
While this sounds good, instead of "churning" accounts for commissions, brokerage firms are charging 1% to 2% on assets - which is 10% to 20% in 10 years! [read post]
28 Aug 2012, 11:55 am
(10) “Control” means possessing, directly or indirectly, the power to direct or cause the direction of management and policies. (11) “Advisory affiliate” means an “advisory affiliate” as defined in the Glossary of Terms to Form ADV (Uniform Application for Investment Adviser Registration (17 C.F.R. [read post]
24 Oct 2013, 4:46 pm
In its press release announcing the proposed rules and forms, the Commission does offer some highlights of the major provisions, including those addressing: Issuers An issuer that uses the crowdfunding exemption will be able to raise a maximum aggregate amount of $1 million dollars in a 12-month period. [read post]
11 Jan 2019, 2:06 pm
But when markets opened this morning (1/10), they did so at $1,640. [read post]
23 Jul 2012, 5:36 pm
October calendar, day by day: Mon., Oct. 1 10-1491 — Kiobel v. [read post]
23 Oct 2017, 3:00 am
It would seem obvious that Example 1 produces a better return (which it does). [read post]
5 Apr 2012, 6:26 pm
Title III – Crowdfunding Crowdfunding exemption through funding portals for offerings up to $1 million Implementation: SEC directed to issue rules within 270 days. [read post]
8 Jan 2019, 6:45 am
This calculation does not include any earnings made from the QOF investment. [read post]
1 Nov 2015, 5:44 pm
Investors with annual income or net worth greater than $100,000 are limited to 10 percent of their income or net worth annually, in the aggregate across all crowdfunding offerings. [read post]
29 Aug 2019, 9:05 pm
” In a 3—1 ruling, the National Labor Relations Board (NLRB) held that misclassifying workers as independent contractors does not violate federal labor law, reversing a past decision. [read post]
4 Sep 2011, 1:54 pm
So a fund manager that advises one fund that has 10 Indiana investors would still qualify for this element of the exemption. [read post]
1 Mar 2009, 12:20 pm
[10] Id [read post]
27 Sep 2021, 8:33 am
Regarding 10b5-1 trading plans, Hinman said this is an area of focus for Gensler. [read post]
6 Apr 2016, 4:56 pm
As she said in her opening remarks, “Being a private company obviously does not mean that you can disregard the interests of investors. [read post]
1 Aug 2019, 11:54 am
Litig. [10] “ [read post]
20 Jun 2012, 3:36 pm
Bear Stearns & Co., No. 10-5510 (6th Cir. [read post]
9 Mar 2012, 3:07 pm
In order to mandate becoming a reporting company, you now would have to have $10 million in assets and at least 2000 shareholders or 500 shareholders who are not accredited investors. [read post]
8 Mar 2022, 12:09 pm
Through the SEC Whistleblower Program, qualified whistleblowers are entitled to a monetary award of 10-30% of funds recovered by the government when the sanctions that the government recovers exceed $1 million. [read post]
18 Apr 2012, 6:08 am
Among other things, Erion suggests: (1) that while Chevron’s most recent 10-K acknowledges that the plaintiffs intend to seek to enforce the Ecuadoran judgment, Chevron did not disclose the risks of irreparable harm to investors that it argued to Judge Kaplan when seeking a preliminary injunction; and (2) that under GAAP, Chevron should have estimated the amount of the loss contingency it faces. [read post]
24 Jun 2008, 4:17 am
10. [read post]
