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6 Aug 2023, 9:01 pm by renholding
In the Adopting Release, the SEC noted that growing economic concerns surrounding the COVID-19 pandemic in March 2020 led investors to reallocate their assets into cash and short-term government securities, though the SEC cited few examples of MMFs that approached or breached the 30% liquid assets threshold during this period.[5] As discussed in a report (the “PWG Report”) issued in December 2020 by the President’s Working Group on Financial Markets, prime and tax-exempt MMFs,… [read post]
28 Jul 2023, 1:02 pm by The White Law Group
 This scheme was purportedly an ongoing operation for more than 10 years, and the investors of this scheme were allegedly telling clients that they would receive returns of 6-7% interest, guaranteed for two to three years, for non-specific investments in a fund called “Horizon Private Equity. [read post]
28 Jul 2023, 4:00 am by Jim Sedor
How George Santos Used Political Connections to Fuel Get-Rich Schemes DNyuz – Grace Ashford (New York Times) | Published: 7/26/2023 In the years since U.S. [read post]
20 Jul 2023, 2:09 am by The White Law Group
  For this service, brokerage firms are generally paid a high commission, often 7% or higher (a 7% up front commission is well in excess of the commissions offered financial advisors selling annuities or mutual funds, which creates an inherent conflict of interest for advisors recommending DST investments). [read post]
12 Jun 2023, 2:08 pm by The White Law Group
The senior customers reportedly directed Smith to use the checks to fund their mutual fund investments. [read post]
6 Jun 2023, 9:17 am by Erik J. Heels
David is a recognized classical composer whose music can be found by saying “Alexa–please play the music of David Homan” with 7 albums and radio play internationally. [read post]
1 Jun 2023, 5:29 am by Unknown
In contrast, Gen X investors give a slight edge to mutual funds, followed by individual stocks and crypto. [read post]
28 May 2023, 4:46 pm by Russell Knight
(quoting Restatement (Second) of Trusts § 2 (1959)) For example: “FRED shall hold WILMA’s beneficial interest in the Business Entity [Quarry, LLC] as a trustee for and on behalf of DIANE until such time as the Business Entity, or portion thereof, is sold, transferred or terminated, or in any manner effected such that FRED no longer has an ownership interest in the Business Entity and WILMA has received any and all distributions, return of capital or other liquidation… [read post]
26 May 2023, 11:00 pm
Well, while Ehud noted that most DSTs would usually require a 5–7-year commitment, there’s no penalty to exiting early. [read post]
25 May 2023, 9:01 pm by renholding
The government stepped in yet again to stabilize short-term funding markets, establishing the Money Market Mutual Fund Liquidity Facility[16] and other programs. [read post]
17 May 2023, 12:30 pm by The White Law Group
Giannetti’s administrative revocation was effective as of October 7, 2022. [read post]
16 May 2023, 9:01 pm by renholding
” DESCRIPTION[3] From 2017, Goldman Sachs Asset Management (“GSAM”) offered two mutual funds and a separately managed account strategy marketed as ESG investments. [read post]
10 May 2023, 12:55 pm by Zamansky LLC
Investment Company Act of 1940 The Investment Company Act of 1940 “regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to [investors]. [read post]