Search for: "Cole Distributing Inc."
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7 Oct 2021, 6:37 am
On September 15, Coinbase Financial Markets Inc, a subsidiary of Coinbase Global, Inc. [read post]
24 Mar 2021, 12:38 pm
CIM Income NAV Inc., formerly known as Cole Real Estate Income Strategy Inc., is a non-traded real estate investment trust that invests in anchored shopping centers, retail, industrial and distribution, and office properties. [read post]
1 Dec 2016, 3:16 am
I wonder what will happen to the Cole Memo under the incoming administration? [read post]
19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
20 Oct 2023, 2:40 pm
Advisers must also distribute an annual notice to all investors disclosing any preferential treatment provided to investors since the most recent notice was provided. [read post]
20 Apr 2023, 1:20 pm
On February 9, 2023, the Security and Exchange Commission (“SEC”) charged Payward Ventures, Inc. and Payward Trading Ltd. [read post]
27 Apr 2017, 10:13 am
In an Order issued against the Coinflip, Inc. platform (“Coinflip”), the CFTC imposed sanctions against Coinflip for operating a facility for trading Bitcoin derivatives without being registered as a futures exchange or swap execution facility. [read post]
4 Nov 2014, 6:23 am
According to InvestmentNews, recently several brokerage firms including Securities America Inc., with 1,772 registered reps and advisers, and the four National Planning Holdings Inc. firms with 3,954 registered reps and advisers including INVEST Financial Corp., Investment Centers of America Inc., National Planning Corp., and SII Investments Inc., announced that they are temporarily suspending some or all of the non-traded real estate investment trust (Non-Traded… [read post]
8 Dec 2021, 7:27 am
However, CA RIAs can avoid these additional requirements by engaging a PCAOB-registered auditor to prepare and distribute audited financial statements to all beneficial owners of the pooled investment vehicle, and the Commissioner of the California Department of Financial Protection and Innovation (“DFPI”). [read post]
22 Dec 2020, 9:43 am
Last year, Cole-Frieman & Mallon hosted a well attended presentation and networking event with regulatory compliance firm Aspect Advisors. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
8 Dec 2021, 11:27 am
However, CA RIAs can avoid these additional requirements by engaging a PCAOB-registered auditor to prepare and distribute audited financial statements to all beneficial owners of the pooled investment vehicle, and the Commissioner of the California Department of Financial Protection and Innovation (“DFPI”). [read post]
15 Dec 2022, 4:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
17 Mar 2010, 9:19 am
Barclays De Zoete Wedd, Inc., 300 N.J. [read post]
15 Dec 2022, 8:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
14 May 2019, 8:01 am
The copies were made by LTEV, all of which were supplied to and distributed by PHM who distribution them until 9 October 2016.1. [read post]
22 Jul 2010, 2:59 am
Knott's Wholesale Foods Inc. has been making "pickled eggs" for the past 63 years, but now they've got only until the end of the month to do some explaining to the U.S. [read post]
26 Aug 2022, 10:26 am
This comes after the company completed a stock-for-stock merger transaction with Cole Office & Industrial REIT Inc. [read post]
3 Apr 2014, 11:08 am
Citrus Community College District, 131 P.3d 383 (Cal. 2006)), to the legality of fantasy baseball's use of player names and information (CBC Distribution & Marketing, Inc. v. [read post]
11 Apr 2010, 8:07 pm
It is an attempt to pass the cost of protecting one's copyright to middlemen and, ultimately, to consumers.Sony is understandably concerned with the unauthorized sale and distribution of copyrighted music. [read post]
