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22 Aug 2012, 4:51 am
For example, let’s say you have a vehicle worth $10,000.00 and you own shares in a mutual fund (outside of a retirement account) valued at $10,000.00. [read post]
14 Aug 2020, 6:29 am
Securities and Exchange Commission, on Friday, August 7, 2020 Tags: Asset management, Disclosure, Investor protection, Mutual funds, SEC, SEC rulemaking, Securities regulation Initial Perspectives and Implications of SEC Proxy Advisory Reform Posted by Adam O. [read post]
28 Nov 2011, 7:19 am
Advise a registered underlying fund of a registered fund of funds. 7. [read post]
7 Sep 2019, 7:27 am
Suggested Tax Reforms Will Not Change Mutual Funds into Worker Advocates Leo E. [read post]
22 Dec 2010, 1:19 pm
On December 7, 2010, the Supreme Court heard oral argument in Janus Capital Group, Inc. v. [read post]
11 Jan 2011, 5:00 am
E.T. on Wednesday and with plans to reopen at 7 p.m. [read post]
23 May 2022, 6:12 am
The SEC charged the adviser with violations of Investment Advisers Act Sections 206(2) and 206(4) and Rule 206(4)-7. [read post]
1 Dec 2011, 3:34 pm
Typically, funds that are registered as investment companies are publicly traded mutual funds. [read post]
18 Jan 2021, 8:45 am
FINRA began an investigation on 3/7/2019 after receiving an “external tip. [read post]
3 Feb 2016, 5:00 am
Pursuant to Rule 12b-1 under the Investment Company Act of 1940, payments made by mutual funds (“funds”), to financial intermediaries from fund assets for the distribution of fund shares must be paid pursuant to a Rule 12b-1 plan that has been approved and adopted by the fund’s shareholders and Board of Directors (“Board”). [read post]
7 May 2009, 1:13 pm
We believe supporting mandatory registration for investment advisers is just one of the many important steps that can be taken towards these mutually shared goals. [read post]
9 Mar 2021, 3:00 am
Most private equity funds rely on the Securities Act of 1933 (“Securities Act”) Regulation D Rule 506– the private offering exemption as well the exemptions pursuant to ICA Sections 3(c)(1) or 3(c)(7). [read post]
21 Jul 2009, 3:49 am
Other related hedge fund law articles include: Series 7 Exam Series 34 Exam Series 79 Exam Series 30 Exam Information Forex Hedge Fund [read post]
29 Jun 2011, 5:00 am
First Derivative, a case that involved allegedly false disclosure in a prospectus issued by a mutual fund. [read post]
5 Nov 2010, 5:27 pm
Oral argument is set for December 7, 2010 and the government has asked for permission to participate in it. [read post]
21 Aug 2010, 9:29 am
What is a Hedge Fund Part 2 Mutual Funds v. [read post]
13 Jan 2010, 10:52 am
Pressing forward, the complex bankruptcy case continues with strife as the appointed equity committee, comprised of 6 Washington Mutual shareholders and one New Jersey Representative from Eopus Creek Value (a hedge fund), is challenged by Washington Mutual Inc., WaMu’s now bankrupt holding company. [read post]
7 Feb 2018, 6:28 am
The share of equity investments held by institutional investors, such as mutual funds, pension funds, insurance companies and hedge funds, has increased significantly in recent years, and many such assets are now managed by specialized asset managers. [read post]
14 Jan 2022, 9:43 am
Investment advised clients bought or held mutual fund share classes that charged 12b-1 fees when lower-cost share classes of those same funds were available. [read post]
18 Sep 2019, 2:41 pm
This is because 401(k) contributors are divided as compared to public pension beneficiaries and only pooled together into mutual funds, which funds have the shareholder voting power that may or may not coincide with how the individual contributor might vote. [read post]
