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26 Mar 2009, 6:34 am
As part of its overall investment, EverBrite Solar is prepared to build a $25 million experimental thin-film manufacturing facility for use by Queen's researchers, provided that a collaboration agreement can be reached. [read post]
25 Mar 2014, 6:30 am
A small business formed as a corporation may have to be treated differently than an LLC. [read post]
4 Jun 2024, 4:20 am
” On Friday, the Investment Company Institute, SIFMA and DTCC issued a joint statement noting: “With the U.S. [read post]
25 Jun 2009, 8:51 am
The Conference asked the OECD, the Financial Action Task Force (FATF) and the EU to explore ways to facilitate access to information in regard to trusts, foundations, shell corporations and other arrangements which may be used for tax-evasion purposes. [read post]
3 Aug 2016, 6:32 am
Related research from the Program on Corporate Governance includes The Law and Economics of Blockholder Disclosure by Lucian Bebchuk and Robert J. [read post]
25 Feb 2012, 7:57 am
Eichen, Chief Accountant, Division of Investment Management; Jason Flemmons, Deputy Chief Accountant, Division of Enforcement; and Craig Olinger, Deputy Chief Accountant, Division of Corporation Finance. [read post]
7 Jun 2013, 3:02 pm
Saviano used his clients funds for personal expenses and to repay previous victims. [read post]
3 Jan 2019, 5:48 am
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
12 Mar 2009, 12:10 pm
Contact us at (404) 842-9700 (Atlanta) or (912) 447-8400 (Savannah). [read post]
24 Jan 2018, 12:17 am
In the new system, foreigners and minors can’t possibly make investments as it operates on a bank’s real-name account, but they could potentially use corporate accounts to make additional investments. [read post]
26 Nov 2019, 7:33 am
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
29 Jul 2010, 2:56 pm
Supreme Court for rehearing of its June 28 denial of certiorari in British American Tobacco (Investments) Limited v. [read post]
20 May 2012, 7:11 am
During FY 2012 and FY 2013, we also expect to fully implement our new oversight responsibilities with respect to municipal advisors and entities registering with us in connection with the security-based swap regulatory regime. [read post]
21 May 2010, 10:38 am
A common thread in the whistleblower experience is the high probability of being rejected by the industry in which the whistleblower used to work. [read post]
4 Dec 2014, 10:30 am
According to his FINRA Broker Check Report, Pappalardo was registered with Financial Network Investment Corporation from August 2008 through September 2012. [read post]
3 May 2019, 5:56 am
According to FINRA, Booth’s spree occurred while he was registered with Invest Financial Corporation and then LPL Financial. [read post]
27 Dec 2013, 6:36 am
This year also saw the first-time use of a little-known regulation (Rule 38a-1(c) of the Investment Company Act) to ban a Colorado portfolio manager from the securities industry for five years—formisleading and obstructing a CCO—another nod to the CCO’s critical role by government. [read post]
15 Sep 2011, 8:44 am
" The SEC Plans to Re-Establish The Investment Advisory Committee. [read post]
28 Oct 2006, 1:43 pm
There is power behind the letter since the funds aggregately represent $3.4 trillion in invested assets. [read post]
7 May 2024, 3:15 am
AI has become an undisputed corporate priority across industries, with many business and HR leaders viewing the technology as a critical component of their success in the future of work. [read post]
