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22 Feb 2016, 4:36 pm
The Securities Act of 1933 and The Securities and Exchange Act of 1934 The Securities Act of 1933 (The Act) was enacted by Congress in an attempt to eliminate some of the causes of the Great Depression. [read post]
19 Feb 2016, 6:09 am
Loder, Ropes & Gray LLP, on Tuesday, February 16, 2016 Tags: Conflicts of interest, Cybersecurity, Disclosure, Mutual funds, Reporting regulation, SEC, SEC rulemaking,Securities Act, Securities Regulation, Transfer agents Political Activism and Firm Innovation Posted by Syed Walid Reza, SUNY Binghamton, on Wednesday, February 17, 2016 Tags: Firm performance, Information asymmetries, Information environment, Innovation, Political spending, Shocks Sodali… [read post]
18 Feb 2016, 5:51 am
Since September 2007 Carlton has been registered with UBS Financial Services Inc. out of the firm’s Vienna, Virginia office locations. [read post]
15 Feb 2016, 11:28 am
Among those funds is First Trust MLP and Energy Inc (NYSE:FEI) with $943 million in assets. [read post]
11 Feb 2016, 7:34 am
Ass'n, Inc. [read post]
5 Feb 2016, 6:15 am
One such issuance is Adageo Energy Partners, LP which according to SEC filings sought to raise $50 million and raised at least $31 million of that amount through brokerage firms including Direct Capital Securities, Inc., Madison Avenue Securities, Inc., WFP Securities, Inc., Arete Wealth Management, LLC, Newbridge Securities Corporation, Charter Pacific Securities, LLC, ePLANNING Securities, Inc., Sunset… [read post]
4 Feb 2016, 10:49 am
Google, Inc., 15-cv-03751 (N.D. [read post]
3 Feb 2016, 10:42 am
Because there are fewer buyers it is difficult to determine what the value of the security is. [read post]
3 Feb 2016, 9:42 am
The securities and investment fraud attorneys at Malecki Law are interested in hearing from investors in MainStay Investments’ Cushing series Master Limited Partnerships (MLPs) and Energy Equity mutual funds. [read post]
25 Jan 2016, 2:01 pm
This post examines an opinion recently issued by the Fourteenth Court of Appeals of Texas – Houston: Patel v. [read post]
21 Jan 2016, 7:44 am
A unit investment trust (UIT) is an exchange-traded mutual fund offering a fixed (unmanaged) portfolio of securities having a definite life. [read post]
15 Jan 2016, 11:09 am
The employment termination from Reef Securities, Inc. [read post]
Investor Alert: American Century Quantitative Equity Funds Global Gold Fund Securities Investigation
14 Jan 2016, 11:44 am
– Global Gold Fund is an open-ended equity mutual fund launched and managed by American Century Investment Management Inc. [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
10 Jan 2016, 10:31 am
Our firm is investigating potential securities claims against brokerage firms over sales practices related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks. [read post]
4 Jan 2016, 8:00 pm
Bear Valley Mutual Water Co. v. [read post]
28 Dec 2015, 11:13 am
On Christmas Eve, the NLRB issued an interesting decision in Whole Foods Market, Inc. [read post]
27 Dec 2015, 6:23 am
Among the Focused Credit Fund’s most troublesome holdings is iHeartCommunications Inc., formerly known as Clear Channel Communications Inc. [read post]
22 Dec 2015, 2:50 pm
The vast array of private trademarks are not created by the government, owned or monopolized by the government, sized and formatted by the government, immediately understood as performing any government function (like unique, visible vehicle identification), aligned with the government, or (putting aside any specific government-secured trademarks) used as a platform for government speech. [read post]
13 Dec 2015, 4:00 am
SODRAC 2003 Inc. [read post]
