Search for: "INVESTORS DOES 1-10"
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13 Nov 2023, 5:40 pm
As used in section 1128B of the Act, “remuneration” does not include any payment that is a return on an investment interest, such as a dividend or interest income, made to an investor as long as all of the applicable standards are met within one of the following three categories of entities (details here). [read post]
10 Nov 2023, 8:25 am
On 10/14/2022 and 11/1/2022, FINRA sent requests for information to Silva regarding the investigation into the Form U5 allegations. [read post]
9 Nov 2023, 9:01 pm
These areas are: (1) the scope of the definition of a dealer under the Securities Exchange Act of 1934; (2) cryptocurrencies; and (3) off-channel communications by broker-dealers. [read post]
8 Nov 2023, 10:14 pm
If the index drops by 10 points on Day 1, it has a 10 percent loss and a resulting value of 90. [read post]
8 Nov 2023, 9:01 pm
What Does This Mean in Terms of Enterprise Value? [read post]
8 Nov 2023, 6:35 am
” “Purplevine has 400 people in 10 offices worldwide, according to its website. [read post]
7 Nov 2023, 8:37 am
As proposed in CEQA lead agency CPUC’s 2018 FEIR, the Water Supply Project would include: (1) 10 subsurface slant wells to intake brackish water primarily comprised of seawater at the western edge of the Salinas Basin, requiring a CDP initially within the City’s permitting jurisdiction; and (2) a 9.6-million gallons per day (mgd) desalination plant and related facilities on unincorporated County lands. [read post]
6 Nov 2023, 9:46 am
This dispute does not include any requested damages. [read post]
1 Nov 2023, 11:41 am
Undoubtedly, these present revolutionary solutions to investors. [read post]
28 Oct 2023, 3:24 pm
But what does it truly take to remove one of these monuments? [read post]
27 Oct 2023, 9:25 pm
If a client does not possess the requisite knowledge, the intermediary may only proceed if it has provided adequate training to the client on the nature and risks of trading in VAs or VA-related products. [read post]
27 Oct 2023, 3:17 pm
The 85-year-old investor, philanthropist, collector, and trustee of the Metropolitan Museum of Art was highly invested in antiquities. [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
22 Oct 2023, 9:05 pm
§ 1-201(b)(20) (Am. [read post]
22 Oct 2023, 9:01 pm
”[1] A decision to allow MD&A line-item omissions to serve as a basis for Section 10(b) liability could have a significant impact on private securities fraud litigation. [read post]
16 Oct 2023, 7:37 am
A notable example is the sale of Salvator Mundi by Leonardo da Vinci, sold by Christie’s for 475 million dollars, setting a record as the most expensive artwork ever sold to an individual.[1] One aspect that often raises eyebrows and sparks curiosity in the art market is the concept of anonymity. [read post]
15 Oct 2023, 9:01 pm
The statute does not require the Table 2 information. [read post]
15 Oct 2023, 4:58 am
Between 1 and 10 years of service: 5 days/year. [read post]
10 Oct 2023, 9:03 pm
Further, the final rules require passive investors who are not qualified institutional investors to file their initial Schedule 13G filings within five business days rather than 10 days. [read post]
10 Oct 2023, 9:01 pm
Does the group guidance inappropriately downplay the importance of an “agreement” in group formation? [read post]
