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30 Dec 2009, 9:45 pm
It has been met with tepid success thus far, and its wider acceptance by the business community is likely to take some more time.Moving to companies, significant regulatory reforms are underway. [read post]
22 Sep 2013, 2:35 pm
Beginning September 23, 2013, these changes will permit issuers to use advertising and other forms of mass communication to sell securities solely to “accredited investors” under Rule 506 of Regulation D. [read post]
21 Aug 2018, 6:43 am
The governance committee did not vote and chose to wait to take action on termination following those communications. [read post]
5 Nov 2009, 12:41 am
I don't know if he communicated with [the bank] about my authority. [read post]
29 May 2012, 1:21 am
The plaintiffs further allege that this information was selectively disclosed to key institutional investors but not to the investing public. [read post]
27 Mar 2012, 9:47 am
Jeffries, the global securities and investment banking group, came up with a liquidation value of $1B, if RIM sells off its patents, and $2.5B if RIM continues to use its patents. [read post]
15 Aug 2022, 7:28 am
It’s now the mixed-use community Day Creek Square. [read post]
15 Oct 2019, 4:13 pm
In email communications with Antolovic, the individual made several statements suggesting that perhaps he had not informed Company A of all the specific costs to be paid out of the cost of issuance. [read post]
2 Jul 2020, 11:12 pm
An inter-departmental working group may be established to facilitate communication and co-ordination. [read post]
8 Aug 2023, 11:25 am
According to the Letter of Acceptance Nia is connected to hundreds of unauthorized transactions in the account of a community bank, which was her PKS customer, without obtaining instructions from any person authorized to conduct trading for the bank. [read post]
10 Jan 2008, 2:46 pm
As for "saving the community banks," small community banks weren't the main source of the problem, and community banks are doing fine, no thanks to the bailout. [read post]
19 Jan 2011, 6:38 pm
Other good information for broker-dealers FINRA Regulatory Notice 10-22. **** Bart Mallon is an attorney focused on the investment management industry and provides regulatory and compliance services to the broker-dealer community through Mallon P.C. [read post]
7 Sep 2009, 7:37 pm
Even for community banks that can take retail deposits, the big banks are building branches on every corner and taking that business away from the community banks. [read post]
1 Jul 2013, 10:57 am
"If they [the hedge funds] win, that will signal to the rest of the hedge-fund community that aggressive strategies can work.," said Steven Rosenthal from the Urban Institute (a former tax partner at Ropes & Gray). [read post]
22 Aug 2011, 2:44 am
Topics will include: Impact of the Dodd-Frank Act Retention and succession Producing superior AUM growth Transaction and advisory activity Accounting and auditing roundup Alongside our annual Community Banking Conference, this event will provide you an opportunity to network with banking professionals during lunch and at our joint reception. **** Cole-Frieman & Mallon LLP is a hedge fund law firm which provides comprehensive formation and SEC/CFTC regulatory… [read post]
13 May 2020, 6:43 am
The idea, I suspect, is that such a focused set of actions will draw greater attention (and for risk averse companies or their investors) greater pressure to conform to NPFG expectations. [read post]
28 Dec 2018, 7:00 am
” In the simplest example, a large decline in the price of long-term assets decreases the value of collateral used by leveraged investors, magnifying losses and causing withdrawal of liquid funding. [read post]
29 Feb 2008, 3:11 am
- Do directors need different training, background or communications to prevent repeats of the credit crisis? [read post]
15 Sep 2017, 4:00 am
The solution, however, has sparked controversy and debate within the blockchain community – the details of which are beyond the scope of this article –, and raised questions with respect to legal liability and investor rights. [read post]
21 Mar 2010, 3:50 am
State Bank of India, Bagpat, Distt. [read post]
