Search for: "Registration Private (4)"
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24 May 2023, 4:00 pm
Swap Dealers/CFTC Registrants: Sections 4g and 4s of the Commodity Exchange Act, and the regulations implemented thereto, require that swap dealers and other CFTC registrants retain comprehensive records of their business-related communication. [read post]
19 May 2023, 4:00 am
California – Developer Fined $4 Million for Bribing Former L.A. [read post]
17 May 2023, 1:19 pm
Has anyone ever used ground 4? [read post]
12 May 2023, 4:00 am
The committee is the second Senate panel to target Crow after ProPublica reported he invited Thomas on expensive vacations, bought his mother’s house, and provided Thomas’s grandnephew with private school tuition, most of which were not disclosed by the justice. [read post]
9 May 2023, 9:01 pm
”[3] Delaware courts have recognized that these conflicting interests can result in stockholder nominees or activist appointees on boards becoming “dual fiduciaries” with split loyalties.[4] Disclosing the existence and extent of any such split loyalties will be critical to voting stockholders. [read post]
5 May 2023, 4:00 am
Clarence Thomas Had a Child in Private School. [read post]
3 May 2023, 7:57 am
Notable Cases: April 4, 2023, Suffolk GDC Reckless Driving on a Private Road, dismissed. [read post]
3 May 2023, 7:57 am
Notable Cases: April 4, 2023, Suffolk GDC Reckless Driving on a Private Road, dismissed. [read post]
2 May 2023, 9:01 pm
Taken together, those fees might add up to 3-4 percent in private equity and 2-3 percent in hedge funds per year. [read post]
30 Apr 2023, 9:49 am
Security of private property?). [read post]
29 Apr 2023, 6:24 am
” 750 ILCS 36/311(b) The warrant to take physical custody of a child allows the police to enter private property. [read post]
27 Apr 2023, 9:01 pm
And so are directors and management teams at corporates, whether public or private. [read post]
26 Apr 2023, 9:05 pm
However, Reg A was still seen as a costly option for small businesses to raise capital, especially when compared with other alternatives such as private offerings under Regulation D or Section 4(a)(2) of the Securities Act of 1933.[6] Prior to the implementation of the JOBS Act, Reg A was seldom used, averaging only eight filings per year. [read post]
23 Apr 2023, 9:01 pm
In the last two years, we’ve filed nearly 1,500 enforcement actions and conducted more than 6,000 examinations of registrants. [read post]
22 Apr 2023, 6:02 am
Hybrid event on April 27, 2023, from 10:00 am to 4:00 pm ET. [read post]
20 Apr 2023, 1:20 pm
Although the SEC’s complaint did not allege that staking necessarily always constitutes a security offering, it was determined that this service offered by Kraken did meet the 4-prong test to be considered an investment contract. [read post]
13 Apr 2023, 1:32 pm
According to FINRA, the self-regulator that oversees brokers and brokerage firms, SA Stone has 12 disclosures on its broker record including 8 regulatory events, and 4 arbitrations. [read post]
12 Apr 2023, 11:39 am
Brenda Smith $100 Million Ponzi Scheme Former investment fund manager, Brenda Smith, 61, of Philadelphia, was reportedly sentenced on May 4, 2022, to 109 months in prison for orchestrating a $100 million Ponzi scheme. [read post]
10 Apr 2023, 8:45 am
Some performance artists, such as Gina Pane, would privately create their performance art and have it documented (in Pane’s case, mostly through photographs and video recordings). [read post]
7 Apr 2023, 4:00 am
The new details highlight the degree to which special counsel Jack Smith’s investigation into the potential mishandling of hundreds of classified national security papers at Trump’s Florida home and private club has come to focus on the obstruction elements of the case – whether the former president took or directed actions to impede government efforts to collect all the sensitive records. [read post]
