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2 Oct 2023, 10:00 pm
The Amendments expand the scope of Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940 to apply to any fund name that includes terms that suggest a focus on investments that have, or investments whose issuers have, “particular characteristics” and will require an 80% investment policy for such funds. [read post]
2 Oct 2023, 10:00 pm
The Amendments expand the scope of Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940 to apply to any fund name that includes terms that suggest a focus on investments that have, or investments whose issuers have, “particular characteristics” and will require an 80% investment policy for such funds. [read post]
2 Oct 2023, 10:00 pm
The Amendments expand the scope of Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940 to apply to any fund name that includes terms that suggest a focus on investments that have, or investments whose issuers have, “particular characteristics” and will require an 80% investment policy for such funds. [read post]
2 Oct 2023, 10:00 pm
The Amendments expand the scope of Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940 to apply to any fund name that includes terms that suggest a focus on investments that have, or investments whose issuers have, “particular characteristics” and will require an 80% investment policy for such funds. [read post]
2 Oct 2023, 10:00 pm
The Amendments expand the scope of Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940 to apply to any fund name that includes terms that suggest a focus on investments that have, or investments whose issuers have, “particular characteristics” and will require an 80% investment policy for such funds. [read post]
2 Oct 2023, 11:13 am
You may have investment accounts. [read post]
2 Oct 2023, 9:50 am
”[20] Of course, Draft Guideline 12 is, well, a draft. [read post]
2 Oct 2023, 2:52 am
For example, pre-revenue stage biotechnology companies regularly seek additional capital to fund their research and development activities and real estate investment trusts seek to fund the acquisition of new properties by selling equity securities in private placements or direct registered sales priced at a small discount to the prevailing market price. [read post]
1 Oct 2023, 1:13 pm
Pix credit hereIf people are not able to settle in our countries, and start to think of themselves as British, American, French, or German, then something is going badly wrong. [read post]
1 Oct 2023, 8:04 am
On July 20, 2023, Robert Spencer Gerstein, based in Boca Raton, Florida, was subject to an AWC (Acceptance, Waiver, and Consent) by FINRA (Financial Industry Regulatory Authority). [read post]
1 Oct 2023, 8:00 am
The suspension is effective from August 21, 2023, to October 20, 2023. [read post]
1 Oct 2023, 6:34 am
The FCC’s Media Bureau issued a Declaratory Ruling allowing Alpha Media Holdings Inc. to exceed the 25% limit on foreign investment established in section 310(b)(4) of the Communications Act. [read post]
30 Sep 2023, 4:10 am
September 2023 updates to the Guide include: Vendor Inclusion Request Supplier: CDS Supplier: ESI Laboratory Software: CDS Software: ESI Laboratory Industry: Vendor Voices Update – September 20, 2023 Backgrounder: EDRM Cross Platform Email Duplicate Identification Specification Updates of EDRM Trusted Partner Designation to Appropriate Supplier and Sofware Listings The current listing of 183 suppliers and software offerings can be found at… [read post]
29 Sep 2023, 6:52 am
The FCA published guidance in Finalised Guidance 20/1 Our framework: assessing adequate financial resources on how firms should assess their financial resources, which includes looking proportionately at the risks to which a firm is exposed. [read post]
29 Sep 2023, 6:39 am
Large operating companies are able to get an exemption from FinCEN if they have over 20 full-time employees, a physical office in the U.S., and over $5 million in revenue. [read post]
29 Sep 2023, 4:00 am
Lobbyists cannot do much except keep clients informed about what to expect if the government does shut down as they navigate uncertainty around tax credits, infrastructure investments, and political stability. [read post]
28 Sep 2023, 9:02 pm
The agency stated that the proposed changes will stop coercive debt-collecting practices and financially “empower” the nearly 20 percent of Americans who carry medical debt. [read post]
28 Sep 2023, 7:42 pm
A lump sum allows you to use or invest the money as you see fit. [read post]
28 Sep 2023, 6:35 pm
This tax-free haven extends its generosity to cover passive income sources, from investments to cryptocurrency ventures. [read post]
28 Sep 2023, 2:00 pm
In October of 2020, Arlein was reportedly subject to a customer dispute disclosure (Case #: 20-03489) claiming $300,000 in alleged damages. [read post]
