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7 Jun 2019, 6:09 am
Securities & Exchange Commission, on Wednesday, June 5, 2019 Tags: Broker-dealers, Conflicts of interest, Fiduciary duties, Investment advisers, Investor protection, SEC, SEC rulemaking, Securities regulation The Past and Present of Mutual Fund Fee Regulation Posted by Quinn Curtis (University of Virginia), on Thursday, June 6, 2019 Tags: Asset management, Fiduciary duties, Fund… [read post]
26 Feb 2016, 6:06 am
Posted by Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, February 26, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of February 19, 2016 to February 25, 2016. [read post]
2 May 2014, 3:27 pm
According to FINRA’s BrokerCheck, Seargen worked with brokerage firms in Pennsylvania, including Fortune Financial Services from 01/2006 – 01/2014, Financial Network Investment Corporation from 10/2005 – 12/2005, and Blue Vase Securities 10/2001 – 10/2005. [read post]
8 Nov 2019, 5:55 am
Colosimo, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, November 2, 2019 Tags: Board independence, Business judgment rule, Controlling shareholders, Delaware cases, Delaware law, Executive Compensation, Fairness review, MFW, Pay for performance, Shareholder suits, Tesla 2019 Annual Corporate Governance Review Posted by Brigid Rosati, Hannah Orowitz, and Rajeev Kumar, Georgeson LLC, on Saturday,… [read post]
11 Oct 2011, 12:10 pm
The MPPAA also served the purpose of protecting the Pension Benefit Guaranty Corporation from greater liabilities in multiemployer plans. [read post]
2 Mar 2014, 8:21 am
Coburn, the Ranking Member of the Senate's Homeland Security and Governmental Affairs Committee, has apparently issued to every one of the 440 USCIS-approved Regional Centers a letter seeking a reply by March 7, 2014 responding to each of the items below: • Any approval from USCIS to participate in the EB-5 program regarding the regional center and its business plan, including any subsequent recertification; • The total annual amount of investment and the number of… [read post]
4 Jan 2016, 11:31 pm
Rise of Nonexempt (for-profit) Social Enterprises The Chan Zuckerberg Initiative LLC received much of the attention last year as a nonexempt alternative to a private foundation or donor-advised fund for social good giving. [read post]
8 Dec 2010, 7:37 pm
Series C investments. [read post]
19 Oct 2018, 6:08 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Tags: Broker-dealers, Capital requirements, CFTC, SEC, Securities regulation, Swaps, Swaps entities The CEO Pay Ratio: Data and Perspectives from the 2018 Proxy Season Posted by Deb Lifshey, Pearl Meyer & Partners, LLC., on Sunday, October 14, 2018 Tags: Compensation disclosure, Compensation ratios, Disclosure, Dodd-Frank Act, Executive… [read post]
28 Aug 2022, 9:45 am
In December 2019, a customer complained that Serizawa violated the securities laws by alleging that Serizawa inappropriately sold private investment funds. [read post]
9 Nov 2011, 7:42 am
Also, a security is not just common or preferred shares in a corporation or membership interests in an LLC, but includes warrants, options, and convertible notes. [read post]
10 Dec 2021, 4:59 am
Corporate Journey Towards Gender Diversity Posted by Olivia Wakefield, Ira T. [read post]
29 Mar 2022, 6:15 am
” “Share repurchases [are used] as a tool to raise the price of an issuer’s stock in a way that allows insiders and senior executives to extract value from the issuer instead of using the funds to invest in the issuer and its employees. [read post]
14 Jun 2018, 11:40 am
LLC, S-corporation and C-corporation are the most common, but there are others. [read post]
14 Jun 2018, 11:40 am
LLC, S-corporation and C-corporation are the most common, but there are others. [read post]
3 May 2007, 1:20 am
DISTRICT COURTSOUTHERN DISTRICT OF NEW YORKAdmiraltySeized Electronic Fund Transfers Not Proved Property Of Ship Owner's Coporate Parent; Attachment Vacated Dolco Investments Ltd. v. [read post]
17 Mar 2014, 8:05 am
FMR LLC, involves the Fidelity family of mutual funds, which has no employees of its own. [read post]
28 Aug 2022, 12:27 pm
Younger persons have been using LLCs, donor advised funds (DAFs), and for-profit social enterprises to make a social impact. [read post]
20 Sep 2020, 8:21 pm
Swipe Acquisition Corporation v. [read post]
3 Jul 2012, 11:31 am
Rearden LLC v. [read post]
