Search for: "Security Funding Company "
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25 Nov 2007, 12:44 pm
State securities officials filed an administrative complaint against the company earlier this month. [read post]
19 Oct 2009, 7:46 am
By all appearances, Raj Rajaratnam was a self-made billionaire, having built Galleon Group into a giant hedge fund with a specialty in technology companies. [read post]
30 Jun 2010, 1:49 pm
…“Investment adviser” shall not include: … a person whose only clients in this state are federal covered advisers, other investment advisers, broker-dealers, banks, savings institutions, trust companies, insurance companies, investment companies as defined in the Investment Company Act of 1940, employee benefit plans with assets of not less than $5,000,000, governmental agencies or instrumentalities, or other financial institutions or… [read post]
12 Jun 2008, 11:37 am
The fight between the CSX Corporation and two hedge funds seeking to win a proxy fight at one of the largest railroad companies in the nation, it seems, may not be over, despite a ruling Wednesday by a federal judge that the two activist funds ad violated securities laws by not disclosing their positions and [...] [read post]
24 Sep 2021, 2:18 pm
Incorvia appeared first on New York Securities Fraud Lawyers Blog. [read post]
4 May 2009, 12:51 pm
SEC Chair Mary Schapiro gave an Address at the Mutual Fund Directors Forum Ninth Annual Policy Conference: Critical Issues for Investment Company Directors, on May 4, 2009. [read post]
11 Jan 2011, 10:44 am
FINRA announced that it has ordered Charles Schwab & Company, Inc., to pay $18 million into a Fair Fund to be established by the Securities and Exchange Commission (SEC) to repay investors in YieldPlus, an ultra short-term bond fund managed... [read post]
8 Apr 2020, 4:27 pm
The Alabama Securities Commission and Texas State Securities Board separately ordered a mining company and its agent to stop operating a fraudulent cryptocurrency scheme generated partly from a promise that the Alabama and Texas resident investors’ funds would be donated to UNICEF for medical equipment to help COVID-19 pandemic victims around the world. [read post]
2 Feb 2009, 5:02 pm
(a) DEFINITION OF INVESTMENT COMPANY. [read post]
1 Jan 2018, 5:54 am
The post Inland Opportunity Fund II – Securities Investigation appeared first on White Securities Law. [read post]
4 Feb 2010, 4:38 am
Botched financial planning is the accusation facing Northern Trust Company, which has been sued by the Chicago Teachers’ Pension Fund over claims that the investment company breached its fiduciary duty and made unsuitable investments in risky, long-term securities that ultimately plummeted in value. [read post]
21 Jun 2011, 11:46 pm
This is a retrograde step as it imposes hurdles to fund-raising activities of companies. [read post]
7 Jul 2022, 1:01 pm
The company admitted it failed to seek sufficient details about the sources or purposes of the funds involved in the transactions, or the customers initiating the transmissions. [read post]
9 May 2012, 5:09 pm
” A private fund adviser is any investment adviser who provides advice solely to one or more private funds (i.e. a 3(c)(1) fund or a 3(c)(7) fund).[1] A private fund adviser must not be subject to disqualification from prior bad acts such as fraud or other securities law violations. [read post]
6 Jul 2017, 6:45 pm
Accordingly, the SFC proposes to introduce the Securities and Futures (Open-ended Fund Companies) Rules (the OFC Rules), which will be subsidiary legislation to the Securities and Futures Ordinance (Cap. 571) (SFO), and the Code on Open-ended Fund Companies (the OFC Code). [read post]
2 Oct 2023, 10:00 pm
On September 20, 2023, in a 4-1 vote, the US Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to the rule governing fund names, which impose new disclosure, compliance, reporting, and recordkeeping requirements on certain funds. [read post]
2 Oct 2023, 10:00 pm
On September 20, 2023, in a 4-1 vote, the US Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to the rule governing fund names, which impose new disclosure, compliance, reporting, and recordkeeping requirements on certain funds. [read post]
2 Oct 2023, 10:00 pm
On September 20, 2023, in a 4-1 vote, the US Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to the rule governing fund names, which impose new disclosure, compliance, reporting, and recordkeeping requirements on certain funds. [read post]
2 Oct 2023, 10:00 pm
On September 20, 2023, in a 4-1 vote, the US Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to the rule governing fund names, which impose new disclosure, compliance, reporting, and recordkeeping requirements on certain funds. [read post]
2 Oct 2023, 10:00 pm
On September 20, 2023, in a 4-1 vote, the US Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to the rule governing fund names, which impose new disclosure, compliance, reporting, and recordkeeping requirements on certain funds. [read post]
