SEC Bars Pennsylvania's Kieran Dale From Investment Advisory Business
- SEC Bars Pennsylvania's Kieran Dale From Investment Advisory Business. Hume, Lynn // Bond Buyer;4/21/2006, Vol. 356 Issue 32365, p31
The article reports on the prohibition ordered by the Securities and Exchange Commission (SEC) against Kieran J. Dale of Downingtown, Pennsylvania from the investment advisory business. This is in connection with the settlement scheme by SEC for the securities fraud cases filed against her. It...
- Regulatory Scrabble. // Mergers & Acquisitions: The Dealermaker's Journal;Jan2011, Vol. 46 Issue 1, p10
The article offers information on the definition of the term 'venture capital' described by the U.S. Securities and Exchange Commission.
- Independent No Good? Etzel, Barbara // Investment Dealers' Digest;11/18/2002, Vol. 68 Issue 44, p13
Reports on the possible rejection of equity and venture-capital firms from company boards in the U.S. according to the Securities and Exchange Commission (SEC) rules. Definition of company independence by SEC rules; Reaction of private equity partners and venture capitalists regarding the SEC...
- Financings Roundup. Osborne, Randy // BioWorld Today;10/28/2013, Vol. 24 Issue 207, p5
The article reports that Menlo Park, California-based healthcare venture capital firm Versant Ventures has disclosed in a U.S. Securities and Exchange Commission (SEC) filing the establishment of a new venture capital fund, Versant Affiliate Fund V LLP, worth 250 million dollars in 2013.
- SEC Votes to Allow Advertising of Private Offerings. Mont, Joe // Compliance Week;Aug2013, Vol. 10 Issue 115, p6
The article reports on the decision of the U.S. Securities and Exchange Commission to allow the advertising and solicitation of private securities offerings and investments in hedge fund and venture capital funds.
- Bill Would Boost SEC Enforcement, Provide for More Investor Restitution. Hume, Lynn // Bond Buyer;5/22/2003, Vol. 344 Issue 31641, p4
On May 21, 2003, U.S. House Financial Services Committee chairman Michael Oxley and capital markets subcommittee chairman Richard Baker has introduced a legislation that would strengthen the U.S. Securities and Exchange Commission's (SEC) enforcement powers and increase its ability to return...
- Practical Summary of the Regulatory Environment for Registered Investment Advisers. Cascarelli, Joseph C. // Journal of Financial Service Professionals;Nov2000, Vol. 54 Issue 6, p46
Presents a summary of the regulation for registered investment advisers in the United States. Availability of securities information on the Internet; Demonstration of investment adviser competence; Registration of financial planners; Regulation of adviser communication with the Securities and...
- Time grows short for firms to register, file with SEC. JACOBIUS, ARLEEN // Pensions & Investments;4/4/2011, Vol. 39 Issue 7, p8
The article reports on the financial services companies in the U.S. like private equity and hedge fund firms which will have to start filing reports with the U.S. Securities and Exchange Commission (SEC) from July 24, 2011.
- SEC supports disclosure. Anand, Vineeta // Pensions & Investments;10/4/1993, Vol. 21 Issue 20, p14
Reports on the Securities and Exchange Commission's proposed rule requiring money managers to provide greater information about their soft-dollar relationships with brokerage houses. Heading off legislation threatened by Representative Edward J. Markey; Hearings on soft-dollar relationships;...