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18 Nov 2019, 12:12 pm
Krug, Andrew B. [read post]
17 Jul 2010, 6:28 am
The definition of accredited investor, however, came into effect in 1982. [read post]
15 Jun 2009, 2:16 am
Martha B. [read post]
6 Feb 2023, 9:05 pm
This post comes to us from Catharina Janz, Rainer Michael Rilke, and B. [read post]
22 Nov 2018, 7:11 am
Merrill (Merrill), Jay B. [read post]
6 Sep 2010, 7:55 am
Philosophically, it's hard to justify why the freedom to invest in startups should be restricted to (a) those who start them, and (b) people rich enough to meet the accredited investor thresholds. [read post]
27 Dec 2021, 6:50 am
Inc. in Atlanta, and Livingston Group Asset Management d/b/a Southport Capital. [read post]
11 Oct 2017, 11:37 pm
Offering and sale of securities can be made to up to 35 non-accredited investors using Rule 506(b) of Regulation D. [read post]
20 Nov 2013, 3:24 am
Garrett that had posed a number of questions relating to the SEC's plans with respect to its review of the accredited investor definition, which is required by Section 413(b)(2)(A) of the Dodd-Frank Act. [read post]
15 Feb 2011, 10:28 am
Dudley, seen here, and former CEO Anthony B. [read post]
4 Feb 2011, 7:35 am
The first recounts (a) what happened last spring, (b) the upshot with the passage of Dodd-Frank, and (c) where we are likely to be for the next four years, particularly given what the SEC signaled last week. [read post]
17 Aug 2017, 7:00 am
The vast majority of unregistered securities offerings utilize the exemption under Rule 506(b) of Regulation D, which for all practical purposes, limits the offering to accredited investors. [read post]
30 Jul 2010, 10:44 am
(b) REVIEW AND ADJUSTMENT. [read post]
16 May 2020, 2:51 am
It’s long been blackletter law that a Section 10(b) claim can be rooted in statements that are not targeted to the company’s investors, and are not specifically about the health of the company, so long as investors rely on them,... [read post]
26 Apr 2011, 8:53 am
First, it recommended that Congress maintain existing investor protections of Section 404(b) for accelerated filers, which have been in place since 2004 for domestic issuers and 2007 for foreign private issuers. [read post]
25 Apr 2012, 10:40 am
Several days later, the B-D proceeded to seek bankruptcy protection. [read post]
17 Apr 2015, 2:02 pm
Court of Appeals for the Second Circuit affirmed the dismissal of a putative investor class action against the Royal Bank of Scotland (RBS). [read post]
8 Jan 2023, 9:26 am
What board rights will the investor have? [read post]
9 Oct 2014, 8:24 am
District Court for the Southern District of New York partially certified a class of MBS investors under Rule 23(b) in Fort Worth Employees’ Retirement Fund v. [read post]
29 Sep 2011, 9:22 pm
The financial statement audit, in turn, continues to be important to well-functioning capital markets by improving the quality of, and confidence in, the financial reports provided to investors and other stakeholder.They noted that Section 989G(b) of the Dodd-Frank Act required the SEC to conduct a study to determine how the SEC could reduce the burden of complying with Section 404(b) for companies whose market capitalization is between $75 and $250 million, while at the… [read post]
