The Law of the Financial Markets from Top Securities Lawyers
Wednesday, September 11, 2024
American Infrastructure Funds LLC (AIM), a registered investment adviser based in Foster City, California, has agreed to a settlement with the SEC, in which AIM will pay over $1.6 million to resolve charges brought against the firm. These charges stem from several alleged breaches of its duties as an investment […]
Oct. 26, 2022 —The Securities and Exchange Commission voted today to adopt rule and form amendments to require mutual funds and exchange-traded funds to transmit concise and visually engaging shareholder reports and to promote transparent and balanced presentations of fees and expenses in investment company advertisements. “Shareholder reports are amongst […]
Sponsor: Sallah Astarita & Cox, LLC – Nationwide representation of hedge funds, hedge fund managers and investors. Featured Articles: Registration and Regulation of Investment Advisers – an overview of the requirements and procedures for registration of investment advisers and hedge fund managers. Featured Books: Fund Formation Strategies: Leading Lawyers on Analyzing Fund Structures, […]
From the SECLaw.com Discussion Forums Archives: Topic: Setting up Investment Company Spencer Uresk New Member posted 12-30-2002 10:43 AM I’m not looking for any specific advice, just trying to determine the feasability of an idea I had. I have provided free, informal investing advice to […]
By Mark J. Astarita, Esq. In its most expansive definition, a hedge fund is a private investment fund, usually structured as limited partnership, managed by the general partner who makes the investment decisions and collects a management and incentive fee. The investors in the fund are the limited partners, who […]
SEC Release for Paperwork Reduction Act Contains Interesting Conclusions By John M. Baker, Esq. It is truly a tribute to the ingenuity of the federal bureaucracy to observe the extensive notice and comment requirements of the Paperwork Reduction Act. In accordance with the Act, the SEC, like other federal agencies, […]
