Securities Law 
Don’t get mad, break even – Marketwatch
purchase or sale would be unlawful under the securities laws of such jurisdiction. The information contained in this writing should not be construed as financial or investment advice on any subject matter. Pension Partners, LLC expressly …
MY Forms Strategic Partnership with Reliance – Yahoo Finance
This press release contains forward-looking statements. These statements constitute “forward-looking” statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and as defined in the U.S. Private Securities …
MRI Interventions Announces Completion of $6 Million Financing – NASDAQ
The securities sold in the private placement have not been registered under the Securities Act of 1933 or state securities laws and may not be offered or sold in the United States absent registration with the U.S. Securities and Exchange … Continue reading
SEC approves NYSE retail plan for sub-penny prices – Reuters UK
The Securities and Exchange Commission said it approved NYSE’s Retail Liquidity Program because it is consistent with the law and “because it is reasonably designed to benefit retail investors by providing price improvement to retail order flow.”
Libor Probe, SIPC Suit, Bank Resolution Plans: Compliance – Businessweek
ASIC Says It’s Examining Proposed Offer for David Jones The Australian Securities & Investments Commission says … It will also take care that in the event there has been a breach of the law, those responsible are held to account, … Continue reading
Brewer PAC treasurer Robert Hockensmith was censured – AZCentral.com
The corporation commissioners determined that accountant Robert Hockensmith violated state laws and engaged in dishonest or unethical practices. Records show Hockensmith was accused of selling unregistered securities and accepted personal loans …
Zimbabwe: Interfin Securities’ Banking Activities Linked to IBC’s Collapse – AllAfrica.com
The agreement provided for the creation of an operating desk within Interfin Securities, contravening the Securities Act. The audit disclosed that Interfin Securities’ treasury structure lacked sufficient and reliable internal controls commensurate with …
AIF pre-emptives act as poison pill, keeping securities price down – The Australian
AUSTRALIAN Infrastructure Fund’s announcement last week that it would seek security holder approval to internalise the management of the fund has done little to nothing for the price of the fund’s securities. The internalisation proposal was announced last …
RMAC Securities No 1 IRSH Notice to Noteholders – Bloomberg
Governing Law The terms of this Notice shall be governed by and construed in accordance with English law. Issuer RMAC Securities No.1 PLC 5 Arlington Square Downshire Way Bracknell Berkshire RG12 1WA United Kingdom Tel +44 20 7398 6300 … Continue reading
Maple and TMX Group Provide Regulatory Update – Yahoo Finance
… the securities of a Canadian company that does not have securities registered under Section 12 of the U.S. Securities Exchange Act of 1934, as amended (the “U.S. Exchange Act”). Accordingly, the offer is not subject to Section 14(d) of … Continue reading
