Search for: "Security Funding Company "
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26 Sep 2013, 9:06 pm
In a letter to SEC Investment Management Director Norm Champ, the Mutual Fund Directors Forum asked the Commission to issue principles-based guidance on fund valuation of securities recognizing the authority of fund directors to delegate valuation. [read post]
18 May 2009, 7:51 am
SEDAR “is the official site that provides access to most public securities documents and information filed by public companies and investment funds with the Canadian Securities Administrators (CSA). [read post]
9 Nov 2010, 8:10 am
The Securities and Exchange Commission has established a fund of over $450 million to pay whistleblowers whose information leads to the successful penalization or conviction of companies or individuals found guilty of securities fraud.The fund has been established in accordance with the Dodd-Frank financial overhaul bill enacted in July, which will also establish a new whistleblower office at the SEC.The fund is required to have a minimum of $300… [read post]
29 May 2020, 5:25 am
The SEC is investigating public companies who took PPP loans to ensure that their PPP applications are consistent with their public filings.Bloomberg News is reporting that the SEC has Th sent letters to some recipients of the forgivable loans seeking information about how the funds were spent and copies of loan applicationsThe news service reported that nearly 200 public companies received PPP funds at that level, but the SEC’s inquiry encompasses fewer… [read post]
16 Jul 2020, 9:51 am
BlueVoyant, a global expert-driven cybersecurity services company with offices College Park, announced Thursday it raised $68 million after the closing of a third round of funding. [read post]
22 Nov 2021, 6:09 am
On Sept. 29, 2021, the Securities and Exchange Commission proposed Rule 14Ad‑1 and amendments to Form N-PX (collectively, “Proposal”) under the Investment Company Act of 1940, as amended (“1940 Act”), that, if adopted, would require more comprehensive information from mutual funds, exchange-traded funds and certain other investment companies registered under the 1940 Act that currently file reports on Form N-PX annually… [read post]
14 Dec 2017, 12:35 pm
Given the increasing popularity of blockchain technology and the use of ICOs to fund new ventures in this area, companies should be aware that they may unwittingly find themselves in violation of securities laws if they fail to seek proper guidance. [read post]
4 Aug 2020, 6:53 am
Some of these companies include: -ABETTERFINANCIALPLAN.COM LLC; -ABFP MANAGEMENT COMPANY, LLC -ABFP INCOME FUND, LLC; -FIDELIS FIANCIAL PLANNING LLC; -RETIREMENT EVOLUTION GROUP, LLC -RE INCOME FUND 2, LLC. [read post]
30 Jan 2004, 3:45 pm
In Friday's corporations and securities law news, the SEC is recommending a proposal which would ban mutual fund companies from making special payments to brokerages for steering clients toward certain funds. [read post]
31 Jan 2019, 2:19 pm
However, the fund must file a copy of Form D with each state where there are purchasers of the fund’s interests and also, potentially, the state where the fund adviser is located.2 Investment Company Act of 1940 The Investment Company Act of 1940 requires that issuers of securities that are in the business of holding and investing in other securities register with the SEC as an “investment company. [read post]
1 Oct 2018, 12:16 pm
On September 27, 2018, the Securities Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) charged an international securities dealer with illegally offering and selling to U.S. investors security-based swaps funded with bitcoins and related violations of the Commodities Exchange Act. [read post]
5 May 2021, 10:51 am
Franzone is alleged to have taken personal loans from the founders of two companies the fund was invested in and to have used fund assets to secure loans that benefitted him personally. [read post]
13 Dec 2016, 10:13 am
U.S. persons who own foreign securities for their own portfolios and/or who invest in foreign securities on behalf of others (referred to as ‘‘end-investors’’), including investment managers and fund sponsors such as: Managers of private and public pension funds Hedge fund managers Managers and sponsors of private equity funds, venture capital companies and similar private investment vehicles Managers and… [read post]
22 Jun 2011, 11:24 am
Under Section 2(a)(41)(B) of the Investment Company Act, the funds were required to use market values for portfolio securities with readily available market quotations and use fair value for all other portfolio assets, as determined in good faith by the board of directors. [read post]
25 Mar 2021, 1:04 pm
Softbank is the world’s largest technology-focused venture capital fund, and has a particular interest in ride-hailing companies. [read post]
10 Apr 2012, 1:13 am
As a October 3, 2011 Wall Street Journal article about litigation funding noted, litigation funding can provide a way for smaller companies to level the playing field against bigger opponents. [read post]
10 Apr 2012, 1:13 am
As a October 3, 2011 Wall Street Journal article about litigation funding noted, litigation funding can provide a way for smaller companies to level the playing field against bigger opponents. [read post]
31 May 2018, 9:29 am
There are many many changes to discuss, but my blog post will focus on just one change that is of importance to our private fund clients: venture capital funds with less than $10 million in capital commitments can have up to 250 investors and still rely on the exemption from the definition of "investment company" found in Section 3(c)(1) of the Investment Company Act.Just to be clear, the old version of Section 3(c)(1) said that "any issuer… [read post]
21 Jun 2012, 10:05 pm
The Tonxin settlement will be funded by the company’s insurer. [read post]
8 Apr 2008, 4:41 am
The Carlyle Group has formed a $1.35 billion fund to troll for bruised companies and securities less than a month after the failure of one of its own investments. [read post]
