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20 Aug 2019, 3:29 pm
However, the primary sellers of these toxic funds appear to have been Royal Alliance, FSC Securities, SagePoint Financial, and Woodbury Financial Services. [read post]
27 Apr 2009, 12:31 pm
Kazeon Systems, a company that specializes in software used for electronic investigations and discovery of buried network information, just brought in $10 million in sixth-round funding from JK&B Capital, Clearstone Venture Partners, Menlo Ventures and Redpoint Ventures, reports peHub. [read post]
11 Oct 2017, 12:20 pm
More than $3.8 million in Boost Fund loans have been approved to 31 companies since ... [read post]
6 May 2009, 1:07 pm
The Securities and Exchange Commission has charged operators of the Reserve Primary Fund with fraud. [read post]
29 Apr 2024, 7:55 am
appeared first on Securities Arbitration Lawyers Blog. [read post]
5 May 2021, 7:23 am
The post SEC Charges Another Florida Internet Marketing Company With Securities Fraud—Harbor City Capital appeared first on Securities Arbitration Lawyers Blog. [read post]
17 Jul 2007, 3:37 am
Hedge Funds Fail to Place Candidates on Company BoardTwo hedge funds failed in their effort to get their slate of two candidates elected to the board of directors of a Delaware company in which they had a 13 percent interest after the Chancery Court rejected the funds' contention that the company's by laws on nominating directors were so confusing as to excuse compliance. [read post]
10 Oct 2011, 12:48 pm
” A “qualifying portfolio company” has three requirements: (i) at the time of the investment by the fund, the company must not be a reporting company under the Securities Exchange Act of 1934 nor be listed or traded on any foreign exchange and is not an affiliate of (i.e. directly or indirectly under common control with) an Exchange Act reporting company or a publicly traded foreign company; (ii) the company… [read post]
29 Jan 2020, 2:39 pm
The Securities and Exchange Commission (SEC) is investigating the company’s accounting practices. [read post]
12 Jan 2021, 9:41 am
The Securities and Exchange Commission today charged fund manager Eric C. [read post]
21 Jun 2019, 2:41 pm
Whether or not the company and its funds can survive remains to be seen. [read post]
3 Dec 2003, 2:24 pm
In Wednesday's corporations and securities law news, the Securities and Exchange Commission voted at an open meeting today to propose sweeping changes in the way it regulates mutual funds in response to the scandal involving illegal trades made by fund companies across the nation. [read post]
4 Mar 2014, 7:18 am
Last week, we noted an opinion of the Maryland Court of Special Appeals denying client security fund repayment to a company that makes loans to attorney with payment due from any settlement proceeds. [read post]
25 Nov 2019, 2:20 pm
The Securities and Exchange Commission has voted to propose a new rule designed to enhance the regulation of the use of derivatives by registered investment companies, including mutual funds, exchange-traded funds (ETFs) and closed-end funds, as well as…Read the Full Press ReleaseHave a securities law question? [read post]
16 Dec 2010, 10:51 am
HR 4337 has passed the Senate and House and now goes to the White House for the President’s signature into law.The Regulated Investment Company Modernization Act modifies and updates federal tax code provisions pertaining to SEC-regulated investment companies in order to make them better conform to, and interact with, other aspects of the tax code and applicable federal securities laws. [read post]
31 Mar 2022, 1:21 pm
Last Friday, the FCC expanded its list of companies it believes pose a risk to U.S. national security. [read post]
24 Feb 2004, 2:46 pm
The suit claims that the fund companies allowed short-term trading by large investors at the expense of more [read post]
6 Jun 2013, 7:10 am
On Wednesday, the Securities and Exchange Commission proposed several reforms to money market funds. [read post]
2 Nov 2022, 7:00 am
Ridgemont Equity Partners, based in Charlotte, N.C., is focused on investing in middle market companies to secure majority ownership or be the lead minority investor. [read post]
1 May 2017, 2:13 pm
CourseArc, a cloud-based online content creation platform, announced Monday it has secured a $200,000 loan through Maryland’s VOLT Fund. [read post]
