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Jasonpet 11/25/2007 | 0 (0) | 346 | 8 | 0 | English
Page 1 of 15 Section 2 --Definitions; Promotion of Efficiency, Competition, and Capital Formation a. Definitions. When used in this subchapter, unless the context otherwise require... ... more>>
Jasonpet 11/25/2007 | 0 (0) | 246 | 7 | 0 | English
Securities Class ??? How do corporations raise capital ??? How will I assist my client in raising capital A Security ??? Debt or Equity interest in a company ??? Stock or Note Life... ... more>>
SECDocs 5/30/2008 | 0 (0) | 63 | 1 | 0 | English
SEC Performance Budget for 2007 In accordance with Section 220 of Office of Management and Budget Circular A11, the SEC has crafted the following Performance Budget for Fiscal Year 2007. This ... more>>
SECDocs 6/2/2008 | 10 (1) | 45 | 0 | 0 | English
SEC Performance Budget for 2007 In accordance with Section 220 of Office of Management and Budget Circular A11, the SEC has crafted the following Performance Budget for Fiscal Year 2007. This ... more>>
NTIA 6/30/2008 | 0 (0) | 16 | 0 | 0 | English
UNITED STATES CODE SERVICE Copyright (c) 2004 Matthew Bender & Company, Inc., one of the LEXIS Publishing (TM) companies All rights reserved *** CURRENT THROUGH P.L. 108-217, APPRO... ... more>>
stiletto 8/11/2008 | 0 (0) | 1104 | 3 | 0 | English
SEC Charges Defendants in $255 Million Ponzi-Type Scheme Involving Wextrust Capital, LLC and Other Wextrust Entities
Washington, D.C., Aug. 11, 2008 — The United States Securities and Exchange Commission today filed charges against Wextrust Capital, LLC (Wextrust), its principals, and four affiliated Wextrust entities, alleging that defendants conducted a massive Ponzi-type scheme from 2005 or earlier that raised approximately $255 million from approximately 1,200 investors. The targets of the fraudulent offerings are primarily members of the Orthodox Jewish community. Simultaneous with the filing of the action, the Commission is seeking emergency relief from the Court to freeze the defendants' assets and place the Wextrust entities under the control of a receiver to safeguard assets. The Commission is also seeking a temporary restraining order to stop the ongoing offerings and other immediate relief. ... more>>
Jasonpet 11/25/2007 | 0 (0) | 363 | 2 | 0 | English
Exempt Transactions ??? The exempt securities above can be sold and resold without ever being subject to the section 5 registration requirements. ??? There are also transaction exe... ... more>>
Jasonpet 11/25/2007 | 0 (0) | 241 | 4 | 0 | English
[????716-723] 166 | SECURITIES REGULATION (1) Liability for improper disclosure or violation of section 5 registration pro visions [??716] Section 11 of the 1933 Act provides for l... ... more>>
Jasonpet 11/25/2007 | 0 (0) | 559 | 11 | 0 | English
NEW RULES (that cover pre filing publicity) ??? The underlying policy ??? is that the SEC is to have the authority to make rules in regards to securities (for the public interest and protection to ... more>>
Jasonpet 11/25/2007 | 0 (0) | 237 | 10 | 0 | English
G. Liabilities Under the 1933 Act Objectives ??? providing full disclosure of material information to potential investors in newly issued securities and ??? Generally preventing fr... ... more>>
Jasonpet 11/25/2007 | 0 (0) | 189 | 3 | 0 | English
[????711-715] companies and issuers of debt securities must comply with a set of requirements under the regulation, including placing legennd on the offering documents and complian... ... more>>
SECDocs 5/30/2008 | 0 (0) | 76 | 0 | 0 | English
SELECT SEC AND MARKET DATA FISCAL 2005Table of Contents EnforcementMilestones ... more>>
SECDocs 6/2/2008 | 0 (0) | 161 | 0 | 0 | English
SELECT SEC AND MARKET DATA FISCAL 2005Table of Contents EnforcementMilestones ... more>>
Jasonpet 11/25/2007 | 0 (0) | 333 | 4 | 0 | English
??? Rule 163 ??? pre-filing offers by WKSIs o Available only for WKSIs ??? all written and oral offers made by or on behalf of a WKSI before the filing of a registration statement ... ... more>>
Jasonpet 11/25/2007 | 0 (0) | 432 | 9 | 0 | English
PRE FILING PERIOD ??? Pre-Filing offers by WKSIs -Rule 163 ??? o Available only for WKSIs ??? all written and oral offers made by or on behalf of a WKSI before the filing of a regi... ... more>>
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