Searching Content indexed under Investment Strategy by Laura Richman ordered by Published Date Descending.
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U.S. Securities And Exchange Commission Proposes Net Worth Standard For Accredited Investors
The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) required that the definition of "accredited investor" in rules issued under the Securities Act of 1933 (Securities Act) exclude the value of a natural person’s primary residence for purposes of determining whether a natural person has a net worth in excess of $1 million.
United States
1 Feb 2011
Implications of the Dodd-Frank Act for Investment Advisers
The Private Fund Investment Advisers Registration Act of 2010 (the "Registration Act"), contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), both expands and contracts the potential universe of types of investment advisers subject to registration with the Securities and Exchange Commission (the "SEC") under the Investment Advisers Act of 1940 (the "Advisers Act").
United States
17 Sep 2010
SEC Adopts Final Rules Affecting Cross-Border Tender Offers, Exchange Offers, Rights Offerings and Business Combination Rules
On September 19, 2008, the U.S. Securities and Exchange Commission (the “SEC”) issued its final release, Release Nos. 33-8957; 34-58597, on rule changes aimed at expanding and improving the utility of the SEC’s cross-border exemptions for international business combination and rights offerings transactions along with related interpretive guidance (the “Cross-Border Release”).
United States
16 Oct 2008
Investment Funds´ Failure To Report Beneficial Ownership Of CSX Shares "Owned" Through Total Return Swaps Violated Section 13(d)
The United States District Court for the Southern District of New York recently held in CSX Corporation v. The Children’s Investment Fund Management (UK) LLP, et al, (08 Civ. 2764 (LAK) June 11, 2008),1 a case involving the proxy fight between two investment fund families and CSX Corporation, that the funds had violated Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), by failing to disclose beneficial ownership of CSX shares in which the funds had economic i
United States
27 Jun 2008
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