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25 May 2023, 2:10 pm
Investment Advisors: The rules adopted under Section 204 of the Advisers Act, including Advisers Act Rule 204-2(a)(7), require that investment advisers preserve in an easily accessible place originals of all communications received and copies of all written communications sent relating to, among other things, any investment advice given or proposed to be given. [read post]
25 May 2023, 5:16 am
The CHIPS Act represents a $280 billion investment in domestic semiconductor production, research and development, and overall U.S. competitiveness in innovative technology. [read post]
24 May 2023, 4:00 pm
Investment Advisors: The rules adopted under Section 204 of the Advisers Act, including Advisers Act Rule 204-2(a)(7), require that investment advisers preserve in an easily accessible place originals of all communications received and copies of all written communications sent relating to, among other things, any investment advice given or proposed to be given. [read post]
24 May 2023, 7:14 am
Joint accounts, on the other hand, are bank or investment accounts shared by two or more individuals, typically spouses or family members. [read post]
24 May 2023, 7:02 am
This matter originated from a FINRA cause examination. [read post]
24 May 2023, 6:37 am
Part of Just Security’s work on accountability and election law. [read post]
24 May 2023, 3:37 am
The Court found that Section 4.1 only required Apache to offer back to each seller its original interest. [read post]
23 May 2023, 9:05 pm
The steady financialization of the U.S. economy and a wave of deregulation blurred the lines between boring banking and high-risk investment and capital markets activities. [read post]
23 May 2023, 9:01 pm
Today, nearly 75 years later, the private fund industry has grown to $25 trillion[8] in gross asset value amongst tens of thousands of funds[9]—larger than the entire $23 trillion commercial banking sector.[10] Private fund advisers playan important role in each sector of the capital markets, whether it’s equities, treasuries, corporate bonds, mortgages, municipals, private credit, loan origination, or many other markets. [read post]
23 May 2023, 12:41 pm
This matter originated from a FINRA cause examination. [read post]
23 May 2023, 6:22 am
McNamara, one of the three administrative patent judges who originally agreed to hear the patent challenge, owned between $1,001 and $15,000 in Cisco stock and received retirement income from a law firm that did lobbying work for the company. [read post]
22 May 2023, 10:58 am
The Project and Trial Court Litigation The Project site is located within City View Plaza, originally Park Center Plaza, which was one of the City’s first redevelopment sites built between the late 1960s and mid-1980s. [read post]
22 May 2023, 5:53 am
Nelson, J.D.According to the Investment Company Institute (ICI), the SEC needs to better prepare the investment community to make carbon footprint disclosures about portfolio investments that would be required if the Commission were to adopt, as proposed in May 2022, the rules set forth in a rulemaking titled Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment… [read post]
21 May 2023, 11:32 am
Discussions in international economic law, including those surrounding world trade, cross-border investment, and development, have abundantly focused on this. [read post]
19 May 2023, 11:00 pm
Initially, Richard invested in downtown Johannesburg, South Africa. [read post]
19 May 2023, 2:02 pm
-origin components; components qualify as having U.S. origin if they are manufactured in the U.S. irrespective of the origin of any subcomponents. [read post]
19 May 2023, 1:53 pm
The Florida Asian American Justice Alliance has vowed to challenge the law in court on constitutional grounds, calling it discrimination based on nation of origin. [read post]
19 May 2023, 2:02 am
While the original SECURE Act brought forth new changes, SECURE Act 2.0 far exceeds the original legislation, at least as it relates to corporate retirement plans. [read post]
19 May 2023, 12:00 am
This reflects investment efforts in fibre and 5G networks. [read post]
18 May 2023, 9:01 pm
As part of this package of proposals, the Commission is updating Regulation S-P, originally adopted in 2000 – 23 years ago! [read post]