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1
Investment Company Determination Under the 1940 Act
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Title, Investment Company Determination Under the 1940 Act: Exemptions and Exceptions ; Author, Robert H. Rosenblum ; Contributor, American Bar Association.
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Title, Investment Company Determination Under the 1940 Act: Exemptions and Exceptions ; Author, Robert H. Rosenblum ; Contributor, American Bar Association.
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2
Investment company determination under the 1940 act
https://www.worldcat.org/title/investment-company-determination-under-the-1940-act-exemptions-and-exceptions/oclc/51728705
Investment company determination under the 1940 act : exemptions and exceptions. Author: Robert H. Rosenblum. Print Book, English, ©2003. Edition: [2nd ed.] ...
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https://www.worldcat.org/title/investment-company-determination-under-the-1940-act-exemptions-and-exceptions/oclc/51728705
Investment company determination under the 1940 act : exemptions and exceptions. Author: Robert H. Rosenblum. Print Book, English, ©2003. Edition: [2nd ed.] ...
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3
Investment Company Determination Under the 1940 Act ...
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Investment company determination under the 1940 act :
https://lawcat.berkeley.edu/record/298801?ln=en
Title Investment company determination under the 1940 act : exemptions and exceptions / Robert H. Rosenblum. Added Corporate Author American Bar Association.
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https://lawcat.berkeley.edu/record/298801?ln=en
Title Investment company determination under the 1940 act : exemptions and exceptions / Robert H. Rosenblum. Added Corporate Author American Bar Association.
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5
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Investment company determination under the 1940 act : exemptions and exceptions. ; Robert H. Rosenblum.
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Investment company determination under the 1940 act : exemptions and exceptions. ; Robert H. Rosenblum.
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6
Investment Company Determination Under the 1940 ACT
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Investment Company Determination Under the 1940 ACT book. Read reviews from world's ... Blank 133x176. Investment Company Det... by. Robert H. Rosenblum.
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7
Investment company determination under the 1940 act
https://catalog.library.vanderbilt.edu/discovery/fulldisplay/alma991008398959703276/01VAN_INST:vanui
Investment company determination under the 1940 act : exemptions and exceptions / Robert H. Rosenblum. Available at Massey Law Library Upper Level (KF1078 .
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https://catalog.library.vanderbilt.edu/discovery/fulldisplay/alma991008398959703276/01VAN_INST:vanui
Investment company determination under the 1940 act : exemptions and exceptions / Robert H. Rosenblum. Available at Massey Law Library Upper Level (KF1078 .
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8
Investment Company Determination Under the 1940 ACT
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9
Investment company determination under the 1940 act
https://searchworks.stanford.edu/view/5475876
Responsibility: Robert H. Rosenblum. Edition: 2nd ed. Imprint: Chicago : Section of Business Law, American Bar Association, c2003.
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https://searchworks.stanford.edu/view/5475876
Responsibility: Robert H. Rosenblum. Edition: 2nd ed. Imprint: Chicago : Section of Business Law, American Bar Association, c2003.
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10
Investment Company Determination Under the 1940 ACT
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11
Investment company determination under the 1940 act
https://openlibrary.org/books/OL3672648M/Investment_company_determination_under_the_1940_act
Investment company determination under the 1940 Act by Rosenblum, Robert H., 2003, Section of Business Law, American Bar Association edition, ...
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https://openlibrary.org/books/OL3672648M/Investment_company_determination_under_the_1940_act
Investment company determination under the 1940 Act by Rosenblum, Robert H., 2003, Section of Business Law, American Bar Association edition, ...
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12
Investment Company Determination Under the 1940 Act
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Investment Company Determination Under the 1940 Act by Rosenblum, Robert H.. Hardcover available at Half Price Books® https://www.hpb.com.
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13
Investment company determination under the 1940 act
https://search.library.wisc.edu/catalog/999946351302121
Investment company determination under the 1940 act : exemptions and exceptions. Author / Creator: Rosenblum, Robert H., 1961-. Available as: Physical.
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https://search.library.wisc.edu/catalog/999946351302121
Investment company determination under the 1940 act : exemptions and exceptions. Author / Creator: Rosenblum, Robert H., 1961-. Available as: Physical.
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14
Investment Company Determination Under the 1940 Act - Biblio
https://www.biblio.com/book/investment-company-determination-under-1940-act/d/674929755
Investment Company Determination Under the 1940 Act: Exemptions and Exceptions by Robert H. Rosenblum. Note: Cover may not represent actual ...
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https://www.biblio.com/book/investment-company-determination-under-1940-act/d/674929755
Investment Company Determination Under the 1940 Act: Exemptions and Exceptions by Robert H. Rosenblum. Note: Cover may not represent actual ...
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15
Investment company determination under the 1940 act
https://search.lib.asu.edu/discovery/fulldisplay?docid=alma991047100889703841&context=L&vid=01ASU_INST:01ASU&lang=en&search_scope=MyInstitution&adaptor=Local%20Search%20Engine&tab=LibraryCatalog&query=creator%2Cexact%2CAmerican%20Bar%20Association.%20Section%20of%20Business%20Law%2CAND&facet=creator%2Cexact%2CAmerican%20Bar%20Association.%20Section%20of%20Business%20Law&mode=advanced
Investment company determination under the 1940 act : exemptions and exceptions -book. ... Rosenblum, Robert H., 1961- ; ; American Bar Association.
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Investment company determination under the 1940 act : exemptions and exceptions -book. ... Rosenblum, Robert H., 1961- ; ; American Bar Association.
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16
Robert H Rosenblum | College Textbooks - GetTextbooks.com
https://www.gettextbooks.com/author/Robert_H_Rosenblum
Investment Company Determination Under the 1940 Act(2nd Edition) Exemptions and Exceptions by Robert H. Rosenblum Hardcover, 941 Pages, Published 2003 by ...
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Investment Company Determination Under the 1940 Act(2nd Edition) Exemptions and Exceptions by Robert H. Rosenblum Hardcover, 941 Pages, Published 2003 by ...
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17
Investment Company Determination Under the 1940 ACT
https://www.bookdepository.com/Investment-Company-Determination-Under-1940-ACT-Robert-H-Rosenblum/9781590310458
Investment Company Determination Under the 1940 ACT : Exemptions and Exceptions. Hardback; English. By (author) Robert H Rosenblum.
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https://www.bookdepository.com/Investment-Company-Determination-Under-1940-ACT-Robert-H-Rosenblum/9781590310458
Investment Company Determination Under the 1940 ACT : Exemptions and Exceptions. Hardback; English. By (author) Robert H Rosenblum.
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18
Investment Company Act of 1940: Why the Time Has Come to ...
https://digitalcommons.law.villanova.edu/cgi/viewcontent.cgi?article=1008&context=vjlim
ROSENBLUM, INVESTMENT COMPANY DETERMINATIONS UNDER THE 1940 ACT: EXEMPTIONS AND Ex-. CEPTIONS § 6.04[D] (Supp. 1998). 62 See id. 63 See M.A. Hanna Co., 10 ...
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https://digitalcommons.law.villanova.edu/cgi/viewcontent.cgi?article=1008&context=vjlim
ROSENBLUM, INVESTMENT COMPANY DETERMINATIONS UNDER THE 1940 ACT: EXEMPTIONS AND Ex-. CEPTIONS § 6.04[D] (Supp. 1998). 62 See id. 63 See M.A. Hanna Co., 10 ...
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19
Investment Company Determination under the 1940 ... - Chegg
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20
Robert H. Rosenblum - Law: Books - Amazon.com
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Investment Company Determination Under the 1940 Act: Exemptions and Exceptions ... by STANLEY M ROSENBLUM and ROBERT H BORK | Oct 30, 2011.
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https://www.amazon.com/Law-Robert-H-Rosenblum-Books/s?rh=n%3A10777%2Cp_27%3ARobert+H.+Rosenblum
Investment Company Determination Under the 1940 Act: Exemptions and Exceptions ... by STANLEY M ROSENBLUM and ROBERT H BORK | Oct 30, 2011.
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21
Books by Robert H Rosenblum - AllBookstores.com
https://www.allbookstores.com/Robert-H-Rosenblum/author
Discount prices on books by Robert H Rosenblum, including titles like 19th Century Art. Click here ... Investment Company Determination Under the 1940 Act.
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Discount prices on books by Robert H Rosenblum, including titles like 19th Century Art. Click here ... Investment Company Determination Under the 1940 Act.
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22
Document - SEC.gov
https://www.sec.gov/Archives/edgar/data/1640147/000162828020013727/snowflake-40app.htm
3(b)(2) OF THE INVESTMENT COMPANY ACT OF 1940 DECLARING THAT SNOWFLAKE INC. ... Additionally, although Snowflake has determined that it would be exempt from ...
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https://www.sec.gov/Archives/edgar/data/1640147/000162828020013727/snowflake-40app.htm
3(b)(2) OF THE INVESTMENT COMPANY ACT OF 1940 DECLARING THAT SNOWFLAKE INC. ... Additionally, although Snowflake has determined that it would be exempt from ...
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23
Rob H. Rosenblum | Wilson Sonsini
https://www.wsgr.com/en/people/rob-h-rosenblum.html
Rob is well known nationally for helping companies structure their businesses and operations to avoid inadvertently becoming investment companies, ...
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https://www.wsgr.com/en/people/rob-h-rosenblum.html
Rob is well known nationally for helping companies structure their businesses and operations to avoid inadvertently becoming investment companies, ...
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24
Investment Company Act of 1940 - American Bar Association
https://www.americanbar.org/groups/business_law/publications/the_business_lawyer/find_by_subject/buslaw_tbl_mci_ica/
This Article follows the development of SEC regulation of series investment companies, including particular disclosure practices, ...
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https://www.americanbar.org/groups/business_law/publications/the_business_lawyer/find_by_subject/buslaw_tbl_mci_ica/
This Article follows the development of SEC regulation of series investment companies, including particular disclosure practices, ...
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25
Investment Company Act of 1940 Exceptions: Guide ... - Westlaw
https://content.next.westlaw.com/practical-law/document/Icf4a719fef0a11e28578f7ccc38dcbee/Investment-Company-Act-of-1940-Exceptions-Guide-for-Transactional-Lawyers?viewType=FullText&transitionType=Default&contextData=(sc.Default)
This Practice Note provides an overview of the exceptions and exemptions under the Investment Company Act of 1940 commonly relied on in corporate and ...
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https://content.next.westlaw.com/practical-law/document/Icf4a719fef0a11e28578f7ccc38dcbee/Investment-Company-Act-of-1940-Exceptions-Guide-for-Transactional-Lawyers?viewType=FullText&transitionType=Default&contextData=(sc.Default)
This Practice Note provides an overview of the exceptions and exemptions under the Investment Company Act of 1940 commonly relied on in corporate and ...
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26
Updating the SEC's Exemptive Order Process Under the ...
https://www.gwlr.org/wp-content/uploads/2012/08/79-5-Healey.pdf
8 See ROBERT H. ROSENBLUM, INVESTMENT COMPANY DETERMINATION UNDER THE. 1940 ACT: EXEMPTIONS AND EXCEPTIONS, at xxv (2d ed. 2003). 9 See id. 10 U.S. SEC.
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https://www.gwlr.org/wp-content/uploads/2012/08/79-5-Healey.pdf
8 See ROBERT H. ROSENBLUM, INVESTMENT COMPANY DETERMINATION UNDER THE. 1940 ACT: EXEMPTIONS AND EXCEPTIONS, at xxv (2d ed. 2003). 9 See id. 10 U.S. SEC.
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27
Practical guidance at Lexis Practice Advisor® - Arnold & Porter
https://www.arnoldporter.com/~/media/files/perspectives/publications/2017/03/special-considerations-in-forming-private-real-estate-funds.pdf
See, Investment Company Determination Under the 1940. Act: Exemptions and Exceptions, by Robert H. Rosenblum, published by the ABA Section of Business Law, § ...
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https://www.arnoldporter.com/~/media/files/perspectives/publications/2017/03/special-considerations-in-forming-private-real-estate-funds.pdf
See, Investment Company Determination Under the 1940. Act: Exemptions and Exceptions, by Robert H. Rosenblum, published by the ABA Section of Business Law, § ...
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28
Robert Rosenblum - Partner - Wilson Sonsini Goodrich & Rosati
https://www.linkedin.com/in/roberthrosenblum
... investment advisors and broker dealers, venture companies, investment company status, domestic and foreign banks, and general IM matters. Mr. Rosenblum ...
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... investment advisors and broker dealers, venture companies, investment company status, domestic and foreign banks, and general IM matters. Mr. Rosenblum ...
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29
1 Regulation of Investment Companies § 3.07 - Lexis Advance
https://advance.lexis.com/open/document/openwebdocview/-3-07-Exceptions-to-and-Exemptions-from-the-Investment-Company-Definition-Sections-3-c-2-b-and-6/?pdmfid=1000522&pddocfullpath=%2Fshared%2Fdocument%2Fanalytical-materials%2Furn%3AcontentItem%3A52CR-WN30-R03N-54WW-00000-00&pdcomponentid=235819
Section 3(c) excepts from the definition of an investment company numerous entities that otherwise presumably would come within the Act's definition.
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https://advance.lexis.com/open/document/openwebdocview/-3-07-Exceptions-to-and-Exemptions-from-the-Investment-Company-Definition-Sections-3-c-2-b-and-6/?pdmfid=1000522&pddocfullpath=%2Fshared%2Fdocument%2Fanalytical-materials%2Furn%3AcontentItem%3A52CR-WN30-R03N-54WW-00000-00&pdcomponentid=235819
Section 3(c) excepts from the definition of an investment company numerous entities that otherwise presumably would come within the Act's definition.
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30
SEC Response Letter - Barings BDC
https://ir.barings.com/all-sec-filings/content/0000950144-06-011931/filename14.htm?TB_iframe=true&height=auto&width=auto&preload=false
The Existing Fund currently is a private investment company exempt from ... board of directors in determining the fair value of the Company's investments.
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https://ir.barings.com/all-sec-filings/content/0000950144-06-011931/filename14.htm?TB_iframe=true&height=auto&width=auto&preload=false
The Existing Fund currently is a private investment company exempt from ... board of directors in determining the fair value of the Company's investments.
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31
Investor Protection: Towards Additional EU Regulation of ...
https://books.google.com/books?id=uoyWDwAAQBAJ&pg=PT113&lpg=PT113&dq=rosenblum+investment+company+determination&source=bl&ots=fEqzoXugR8&sig=ACfU3U3LxZ9WLjuTFzb4fBGsLhAsi4HNRQ&hl=en&sa=X&ved=2ahUKEwjHk_OQs877AhWVMlkFHWUYAbIQ6AF6BQjLAhAD
R.H. Rosenblum, Investment Company Determination under the 1940 Act: Exemptions and Exceptions 406–407 (American Bar Association 2003).
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https://books.google.com/books?id=uoyWDwAAQBAJ&pg=PT113&lpg=PT113&dq=rosenblum+investment+company+determination&source=bl&ots=fEqzoXugR8&sig=ACfU3U3LxZ9WLjuTFzb4fBGsLhAsi4HNRQ&hl=en&sa=X&ved=2ahUKEwjHk_OQs877AhWVMlkFHWUYAbIQ6AF6BQjLAhAD
R.H. Rosenblum, Investment Company Determination under the 1940 Act: Exemptions and Exceptions 406–407 (American Bar Association 2003).
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32
Case 1:21-cv-07076-JPC-JLC Document 55 Filed 10/25/21 ...
https://fingfx.thomsonreuters.com/gfx/legaldocs/znvnezwykpl/frankel-spac40Act--goMTDopposition.pdf
Robert H. Rosenblum, Investment Company Determination. Under the 1940 Act § 6.3 n. 17 (2003). Case 1:21-cv-07076-JPC-JLC Document 55 Filed ...
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https://fingfx.thomsonreuters.com/gfx/legaldocs/znvnezwykpl/frankel-spac40Act--goMTDopposition.pdf
Robert H. Rosenblum, Investment Company Determination. Under the 1940 Act § 6.3 n. 17 (2003). Case 1:21-cv-07076-JPC-JLC Document 55 Filed ...
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33
sec-fund-of-funds-arrangements-050319.pdf - BlackRock
https://www.blackrock.com/corporate/literature/publication/sec-fund-of-funds-arrangements-050319.pdf
investment companies registered under the Investment Company Act of ... the market value of the investment, as determined pursuant to the.
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https://www.blackrock.com/corporate/literature/publication/sec-fund-of-funds-arrangements-050319.pdf
investment companies registered under the Investment Company Act of ... the market value of the investment, as determined pursuant to the.
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34
SPACs as Investment Funds
https://wifpr.wharton.upenn.edu/wp-content/uploads/2022/07/Jackson-Morley-SPACs-as-Investment-Funds-2022.07.14-2.pdf
SPACs have been violating the Investment Company Act of 1940, ... 44 ROBERT H. ROSENBLUM, INVESTMENT COMPANY DETERMINATION UNDER THE 1940 ...
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https://wifpr.wharton.upenn.edu/wp-content/uploads/2022/07/Jackson-Morley-SPACs-as-Investment-Funds-2022.07.14-2.pdf
SPACs have been violating the Investment Company Act of 1940, ... 44 ROBERT H. ROSENBLUM, INVESTMENT COMPANY DETERMINATION UNDER THE 1940 ...
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35
Investment Services Regulatory Update - Vedder Price
https://www.vedderprice.com/-/media/files/vedder-thinking/publications/2022/7/july-2022-isg-regulatory-update.pdf
exercise significant discretion in determining valuation ... 1940 and the Investment Company Act of 1940 The SEC ... Bruce A Rosenblum, Co-Chair.
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https://www.vedderprice.com/-/media/files/vedder-thinking/publications/2022/7/july-2022-isg-regulatory-update.pdf
exercise significant discretion in determining valuation ... 1940 and the Investment Company Act of 1940 The SEC ... Bruce A Rosenblum, Co-Chair.
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36
Resolution Trust Corporation Rtc Definition - covid19.gov.gd
https://covid19.gov.gd/Resolution%20Trust%20Corporation%20Rtc%20Definition/fulldisplay?p=I5S7R5
Investment Company Determination Under the 1940 Act Robert H. Rosenblum 2003. Status of Open Recommendations United States. General Accounting Office 1993.
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Investment Company Determination Under the 1940 Act Robert H. Rosenblum 2003. Status of Open Recommendations United States. General Accounting Office 1993.
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37
JPMorgan Private Investments Inc. | Form Part 2A & 2B
https://www.jpmorgan.com/content/dam/jpm/securities/documents/adv/part-b/JP_Morgan_Private_Investments_Inc_ADV.pdf
JPMPI determines strategic and tactical asset allocation for the investment strategies and selects the Funds and Model Managers available ...
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https://www.jpmorgan.com/content/dam/jpm/securities/documents/adv/part-b/JP_Morgan_Private_Investments_Inc_ADV.pdf
JPMPI determines strategic and tactical asset allocation for the investment strategies and selects the Funds and Model Managers available ...
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38
In re Tri-Continental Corp., 31 Del. Ch. 101 - Casetext
https://casetext.com/case/in-re-tri-continental-corp
William Prickett, ( William Dwight Whitney, Albert Rosenblum, Cravath, Swaine Moore, ... "As a regulated investment company, having registered under the ...
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https://casetext.com/case/in-re-tri-continental-corp
William Prickett, ( William Dwight Whitney, Albert Rosenblum, Cravath, Swaine Moore, ... "As a regulated investment company, having registered under the ...
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39
Scott B Rosenblum - Financial Advisor in New York, NY 10281
https://fa.ml.com/new-york/new-york/scott_rosenblum/
I provide access to the investment insights of Merrill and banking ... Scott Rosenblum is registered to do business in AZ, CA, CO, CT, DC, DE, FL, GA, ID, ...
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https://fa.ml.com/new-york/new-york/scott_rosenblum/
I provide access to the investment insights of Merrill and banking ... Scott Rosenblum is registered to do business in AZ, CA, CO, CT, DC, DE, FL, GA, ID, ...
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40
August 3, 2009 Mr. Russell G. Golden Director of Technical ...
https://fasb.org/document/blob?fileName=0041-%20FSPFAS157G%20Budak.pdf
Tying the scope to the Investment Companies Guide is problematic for ... discussed in Investment Company Determination under the 1940 Act: ...
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https://fasb.org/document/blob?fileName=0041-%20FSPFAS157G%20Budak.pdf
Tying the scope to the Investment Companies Guide is problematic for ... discussed in Investment Company Determination under the 1940 Act: ...
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41
A Theory of Investment Fund Structure and Regulation - JSTOR
https://www.jstor.org/stable/23744442
central claim is that investment funds (i.e., mutual funds, hedge funds, ... Rosenblum, Investment Company Determination Under the 1940 Act: Exemptions.
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https://www.jstor.org/stable/23744442
central claim is that investment funds (i.e., mutual funds, hedge funds, ... Rosenblum, Investment Company Determination Under the 1940 Act: Exemptions.
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42
Investment Companies as Guardian Shareholders - CORE
https://core.ac.uk/download/pdf/230168690.pdf
Ronald J. Gilson & Reinier Kraakman, Investment Companies as Guardian Shareholders: ... A. Rosenblum, .4 New System of Corporate Governance The Quinquennial ...
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https://core.ac.uk/download/pdf/230168690.pdf
Ronald J. Gilson & Reinier Kraakman, Investment Companies as Guardian Shareholders: ... A. Rosenblum, .4 New System of Corporate Governance The Quinquennial ...
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43
A Theory of Investment Fund Structure and Regulation
https://www.yalelawjournal.org/pdf/1228.Morley.1287_zmw59iqn.pdf
resides more efficiently in the hands of management company investors than in ... ROSENBLUM, INVESTMENT COMPANY DETERMINATION UNDER THE 1940 ACT: EXEMPTIONS.
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https://www.yalelawjournal.org/pdf/1228.Morley.1287_zmw59iqn.pdf
resides more efficiently in the hands of management company investors than in ... ROSENBLUM, INVESTMENT COMPANY DETERMINATION UNDER THE 1940 ACT: EXEMPTIONS.
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44
SB 1234, California Secure Choice Retirement Savings Program
https://www.ici.org/doc-server/pdf%3A16_ici_ca_secure_choice.pdf
Robert H. Rosenblum, Investment Company Determination Under The 1940 Act. Exemptions and Exceptions, 5-25 (2003) also provides a valuable ...
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https://www.ici.org/doc-server/pdf%3A16_ici_ca_secure_choice.pdf
Robert H. Rosenblum, Investment Company Determination Under The 1940 Act. Exemptions and Exceptions, 5-25 (2003) also provides a valuable ...
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45
Robert Rosenblum Phone Number, Address, Age ... - Radaris
https://radaris.com/p/Robert/Rosenblum/
Get Robert Rosenblum's contact information, phone numbers, home addresses, ... Investment company determination under the 1940 act : exemptions and ...
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https://radaris.com/p/Robert/Rosenblum/
Get Robert Rosenblum's contact information, phone numbers, home addresses, ... Investment company determination under the 1940 act : exemptions and ...
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46
Global ESG Disclosure Standards for Investment Products ...
https://www.cfainstitute.org/-/media/documents/ESG-standards/Global-ESG-Disclosure-Standards-for-Investment-Products-Handbook.pdf
Alexis Rosenblum, CFA ... Guiding Principles for Investment Product ESG Disclosures ... companies are determined prior to investment.
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https://www.cfainstitute.org/-/media/documents/ESG-standards/Global-ESG-Disclosure-Standards-for-Investment-Products-Handbook.pdf
Alexis Rosenblum, CFA ... Guiding Principles for Investment Product ESG Disclosures ... companies are determined prior to investment.
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47
A Theory of Investment Fund Structure and Regulation
https://openyls.law.yale.edu/bitstream/handle/20.500.13051/4449/123YaleLJ.pdf?sequence=2&isAllowed=y
resides more efficiently in the hands of management company investors than in ... ROSENBLUM, INVESTMENT COMPANY DETERMINATION UNDER THE 194o ACT: EXEMPTIONS.
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https://openyls.law.yale.edu/bitstream/handle/20.500.13051/4449/123YaleLJ.pdf?sequence=2&isAllowed=y
resides more efficiently in the hands of management company investors than in ... ROSENBLUM, INVESTMENT COMPANY DETERMINATION UNDER THE 194o ACT: EXEMPTIONS.
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48
Considerations in Complying with the Investment Advisers Act
https://www.paulweiss.com/media/2556293/nylj9july14.pdf
an investment adviser as any person or firm ... advice in respect to “securities” as determined ... Act, Robert H. Rosenblum, at 56.
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https://www.paulweiss.com/media/2556293/nylj9july14.pdf
an investment adviser as any person or firm ... advice in respect to “securities” as determined ... Act, Robert H. Rosenblum, at 56.
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49
USA OPPORTUNITY INCOME FUND, INC. (FormCORRESP)
https://www.benzinga.com/node/26515599
8 See, Investment Company Determination Under the 1940 Act: Exemptions and Exceptions, by Robert H. Rosenblum, published by the ABA Section ...
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https://www.benzinga.com/node/26515599
8 See, Investment Company Determination Under the 1940 Act: Exemptions and Exceptions, by Robert H. Rosenblum, published by the ABA Section ...
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50
Recent Decisions, Determinations, and Orders - NYC.gov
https://www.nyc.gov/site/taxappeals/decisions/recent-decisions-determinations-orders.page
REAL PROPERTY TRANSFER TAX - THE EXCEPTION APPEALED THE DETERMINATION OF THE ... (FIDATA) A CONNECTICUT PASSIVE INVESTMENT COMPANY IN ITS COMBINED NEW YORK ...
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https://www.nyc.gov/site/taxappeals/decisions/recent-decisions-determinations-orders.page
REAL PROPERTY TRANSFER TAX - THE EXCEPTION APPEALED THE DETERMINATION OF THE ... (FIDATA) A CONNECTICUT PASSIVE INVESTMENT COMPANY IN ITS COMBINED NEW YORK ...
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51
2012-2013 fdic pass-through insurance 99
https://www.bu.edu/rbfl/files/2013/09/Just-Passing-Through.pdf
See generally, ROBERT H. ROSENBLUM, INVESTMENT COMPANY. DETERMINATION UNDER THE 1940 ACT, ... connection with determining whether an investment company has.
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https://www.bu.edu/rbfl/files/2013/09/Just-Passing-Through.pdf
See generally, ROBERT H. ROSENBLUM, INVESTMENT COMPANY. DETERMINATION UNDER THE 1940 ACT, ... connection with determining whether an investment company has.
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52
When is Bitcoin a Security Under U.S. Securities Law?
https://scholarship.law.ufl.edu/cgi/viewcontent.cgi?article=1144&context=jtlp
A. An Investment of (Real) Money and Things with Real. Monetary Value. ... generally ROBERT H. ROSENBLUM, INVESTMENT COMPANY DETERMINATION UNDER THE 1940.
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https://scholarship.law.ufl.edu/cgi/viewcontent.cgi?article=1144&context=jtlp
A. An Investment of (Real) Money and Things with Real. Monetary Value. ... generally ROBERT H. ROSENBLUM, INVESTMENT COMPANY DETERMINATION UNDER THE 1940.
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53
The Quinquennial Election of Directors. - The Lipton Archive
https://theliptonarchive.org/wp-content/uploads/1056047_1.pdf
millions of times, determines how well the economy does.“). ... of their stock by leveraging the corporation, avoiding investments.
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https://theliptonarchive.org/wp-content/uploads/1056047_1.pdf
millions of times, determines how well the economy does.“). ... of their stock by leveraging the corporation, avoiding investments.
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54
Investor Protection - Scholarly Publications Leiden University
https://scholarlypublications.universiteitleiden.nl/access/item%3A2868129/view
Investment Company with Variable Capital (UK) ... R.H. Rosenblum, Investment Company Determination under the 1940 Act: Exemptions and.
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https://scholarlypublications.universiteitleiden.nl/access/item%3A2868129/view
Investment Company with Variable Capital (UK) ... R.H. Rosenblum, Investment Company Determination under the 1940 Act: Exemptions and.
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55
(212) 403-2394 E-Mail: DKLam@wlrk.com September 26, 2
http://investors.abbvie.com/static-files/3ce139f1-dfad-4fc2-bb8e-9db3113c83c7
significance of the information to investors in light of all the circumstances. In making this determination, the Company applied the test ...
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http://investors.abbvie.com/static-files/3ce139f1-dfad-4fc2-bb8e-9db3113c83c7
significance of the information to investors in light of all the circumstances. In making this determination, the Company applied the test ...
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56
ACG4803 Exam 2 Flashcards - Quizlet
https://quizlet.com/239610918/acg4803-exam-2-flashcards/
If the beginning balance in Foucault's investment account was $430000, ... Rosenblum Company's equity securities portfolio which is appropriately included ...
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https://quizlet.com/239610918/acg4803-exam-2-flashcards/
If the beginning balance in Foucault's investment account was $430000, ... Rosenblum Company's equity securities portfolio which is appropriately included ...
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57
160900-foreign-banks-update-2016.pdf - Morrison Foerster
https://media2.mofo.com/documents/160900-foreign-banks-update-2016.pdf
Foreign banks and the Investment Company Act ... Once an issuer has determined to register its securities ... Robert H. Rosenblum, Investment Company.
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https://media2.mofo.com/documents/160900-foreign-banks-update-2016.pdf
Foreign banks and the Investment Company Act ... Once an issuer has determined to register its securities ... Robert H. Rosenblum, Investment Company.
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58
Details about 2006 edward s rosenblum foundation - IRS
https://apps.irs.gov/app/eos/detailsPage;jsessionid=jC0oWTuQMHXIDIXP99krdlyu.20?ein=456330246&name=2006%20Edward%20S%20Rosenblum%20Foundation&city=Sunbury&state=PA&countryAbbr=United%20States&type=charitySearch
2006 Edward S Rosenblum Foundation. EIN: 45-6330246 | Sunbury, PA, United States. Determination Letters. A favorable determination letter is ...
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https://apps.irs.gov/app/eos/detailsPage;jsessionid=jC0oWTuQMHXIDIXP99krdlyu.20?ein=456330246&name=2006%20Edward%20S%20Rosenblum%20Foundation&city=Sunbury&state=PA&countryAbbr=United%20States&type=charitySearch
2006 Edward S Rosenblum Foundation. EIN: 45-6330246 | Sunbury, PA, United States. Determination Letters. A favorable determination letter is ...
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59
Hippo Holdings Inc. (Form: S-1, Received - Edgar Online
https://content.edgar-online.com/ExternalLink/EDGAR/0001193125-21-255094.html?hash=5c51617c623d5930adc47db3ea2b811a8485826a903f150186fcc013364852a9&dest=d554403dex51_htm
Investing in shares of our common stock or warrants involves risks that are ... This determination is primarily based on Hippo Holdings stockholders ...
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https://content.edgar-online.com/ExternalLink/EDGAR/0001193125-21-255094.html?hash=5c51617c623d5930adc47db3ea2b811a8485826a903f150186fcc013364852a9&dest=d554403dex51_htm
Investing in shares of our common stock or warrants involves risks that are ... This determination is primarily based on Hippo Holdings stockholders ...
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60
Capital Markets, Securities Offerings, and ... - CRS Reports
https://crsreports.congress.gov/product/pdf/R/R45221
But the reduced disclosures may expose a company's investors to ... see chapter 2 of Robert Rosenblum, Investment Company Determination.
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https://crsreports.congress.gov/product/pdf/R/R45221
But the reduced disclosures may expose a company's investors to ... see chapter 2 of Robert Rosenblum, Investment Company Determination.
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61
03.Lipton-Rosenblum.election-contests.pdf
http://www.law.harvard.edu/programs/corp_gov/papers/03.Lipton-Rosenblum.election-contests.pdf
cluding lenders, suppliers, employees and communities, also make significant investments in the company. Moreover, “the shareholders” are not a single ...
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http://www.law.harvard.edu/programs/corp_gov/papers/03.Lipton-Rosenblum.election-contests.pdf
cluding lenders, suppliers, employees and communities, also make significant investments in the company. Moreover, “the shareholders” are not a single ...
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62
Release IA-0913 Rosenblum Harbine.pdf - Brightline Solutions
http://www.brightlinesolutions.com/files/Plaze/Release%20IA-0913%20Rosenblum%20Harbine.pdf
He concluded that Rosenblum's investment adviser registration ... report pending final determination of his appeal.
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http://www.brightlinesolutions.com/files/Plaze/Release%20IA-0913%20Rosenblum%20Harbine.pdf
He concluded that Rosenblum's investment adviser registration ... report pending final determination of his appeal.
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63
Claros Mortgage Trust, Inc. - Stifel
https://www.stifel.com/prospectusfiles/PD_4649.pdf
LLC, which we refer to as the “Mack Real Estate Group” or “MREG. ... determining investment criteria subject to our investment guidelines;.
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https://www.stifel.com/prospectusfiles/PD_4649.pdf
LLC, which we refer to as the “Mack Real Estate Group” or “MREG. ... determining investment criteria subject to our investment guidelines;.
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64
About Us - TRex Bio
https://trex.bio/about-us/
Michael Rosenblum, MD, PhD ... Michael Rosenblum, MD, PhD ... There he was responsible for investments in emerging companies developing transformative ...
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https://trex.bio/about-us/
Michael Rosenblum, MD, PhD ... Michael Rosenblum, MD, PhD ... There he was responsible for investments in emerging companies developing transformative ...
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65
Months In Brief Archive - Business Law Today from ABA
https://businesslawtoday.org/month-in-brief/june-brief-securities-law-2018/
The full Commission upheld this determination on appeal and imposed additional ... The Guide is designed to provide investment companies that invest in ...
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https://businesslawtoday.org/month-in-brief/june-brief-securities-law-2018/
The full Commission upheld this determination on appeal and imposed additional ... The Guide is designed to provide investment companies that invest in ...
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66
J.P. Morgan Private Investments Inc. - Chase Bank
https://www.chase.com/content/dam/chase-ux/documents/investments/jpmpi-form-adv-part-2a-2b.pdf
JPMPI, as a sub-adviser of CSP, determines strategic and tactical asset allocation for the investment strategies, is responsible for securities ...
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https://www.chase.com/content/dam/chase-ux/documents/investments/jpmpi-form-adv-part-2a-2b.pdf
JPMPI, as a sub-adviser of CSP, determines strategic and tactical asset allocation for the investment strategies, is responsible for securities ...
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67
Journal of Corporate Finance | Vol 43, Pages 1-530 (April 2017)
https://www.sciencedirect.com/journal/journal-of-corporate-finance/vol/43/suppl/C
How does analysts' forecast quality relate to corporate investment efficiency? Tao Chen, Lingmin Xie, Yuanyuan Zhang. Pages 217-240: Download PDF.
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https://www.sciencedirect.com/journal/journal-of-corporate-finance/vol/43/suppl/C
How does analysts' forecast quality relate to corporate investment efficiency? Tao Chen, Lingmin Xie, Yuanyuan Zhang. Pages 217-240: Download PDF.
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68
Election Contests In the Company's Proxy - WLRK
https://www.wlrk.com/docs/ElectionContestsOnCompanyProxies.pdf
*Martin Lipton and Steven Rosenblum are members of the firm of ... and communities, also make significant investments in the company.
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https://www.wlrk.com/docs/ElectionContestsOnCompanyProxies.pdf
*Martin Lipton and Steven Rosenblum are members of the firm of ... and communities, also make significant investments in the company.
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69
The value of responsible investment - Zurich Insurance
https://www.zurich.com/-/media/project/zurich/dotcom/sustainability/docs/ilg-the-value-of-responsible-investment.pdf?la=en&hash=33495E6DB388B1F89239817DD952FBA4
The Investment Leaders Group (ILG) is a three-year project to help shift the ... determination of value – whether financial or ... Rosenblum 2013).
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https://www.zurich.com/-/media/project/zurich/dotcom/sustainability/docs/ilg-the-value-of-responsible-investment.pdf?la=en&hash=33495E6DB388B1F89239817DD952FBA4
The Investment Leaders Group (ILG) is a three-year project to help shift the ... determination of value – whether financial or ... Rosenblum 2013).
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70
In Re Kennerly, 90 B.R. 781 - CourtListener.com
https://www.courtlistener.com/opinion/1881619/in-re-kennerly/
A. Arthur Rosenblum, Charleston, S.C., for Charleston Capital Corp. ... The Small Business Investment Company regulations have the force and ...
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https://www.courtlistener.com/opinion/1881619/in-re-kennerly/
A. Arthur Rosenblum, Charleston, S.C., for Charleston Capital Corp. ... The Small Business Investment Company regulations have the force and ...
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71
Oregon attorney general race puts spotlight on pot | Reuters
https://www.reuters.com/article/us-usa-oregon-election-idUKBRE84E1BB20120515
“As attorney general, I will make marijuana enforcement a low priority, and protect the rights of medical marijuana patients,” Rosenblum, ...
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https://www.reuters.com/article/us-usa-oregon-election-idUKBRE84E1BB20120515
“As attorney general, I will make marijuana enforcement a low priority, and protect the rights of medical marijuana patients,” Rosenblum, ...
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72
Capital Markets, Securities Offerings, and Related Policy Issues
https://fas.org/sgp/crs/misc/R45221.pdf
But the reduced disclosures may expose a company's investors to ... see chapter 2 of Robert Rosenblum, Investment Company Determination.
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https://fas.org/sgp/crs/misc/R45221.pdf
But the reduced disclosures may expose a company's investors to ... see chapter 2 of Robert Rosenblum, Investment Company Determination.
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73
S:\Michelle\sherman oakland county.wpd - GovInfo
https://www.govinfo.gov/content/pkg/USCOURTS-mied-5_12-cv-13072/pdf/USCOURTS-mied-5_12-cv-13072-0.pdf
UNITED STATES DISTRICT COURT. EASTERN DISTRICT OF MICHIGAN. SOUTHERN DIVISION. SHERMAN PEGROSS d/b/a. ROSENBLUM & FRANKEL. INVESTMENT COMPANY,. Plaintiff,.
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https://www.govinfo.gov/content/pkg/USCOURTS-mied-5_12-cv-13072/pdf/USCOURTS-mied-5_12-cv-13072-0.pdf
UNITED STATES DISTRICT COURT. EASTERN DISTRICT OF MICHIGAN. SOUTHERN DIVISION. SHERMAN PEGROSS d/b/a. ROSENBLUM & FRANKEL. INVESTMENT COMPANY,. Plaintiff,.
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74
Beneficial Ownership Information Reporting Requirements
https://www.federalregister.gov/documents/2021/12/08/2021-26548/beneficial-ownership-information-reporting-requirements
Executives from a supposed investment group that perpetrated a Ponzi ... to all beneficial ownership determinations and includes additional ...
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https://www.federalregister.gov/documents/2021/12/08/2021-26548/beneficial-ownership-information-reporting-requirements
Executives from a supposed investment group that perpetrated a Ponzi ... to all beneficial ownership determinations and includes additional ...
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75
ANNUAL REPORT iS ta r2 0 19A n n u a lR e p o rt
https://www.annualreports.com/HostedData/AnnualReportArchive/i/NYSE_STAR_2019.pdf
behind our first-of-its-kind ground lease company, ... The carrying values of our assets held for investment are not determined based upon the prices at ...
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https://www.annualreports.com/HostedData/AnnualReportArchive/i/NYSE_STAR_2019.pdf
behind our first-of-its-kind ground lease company, ... The carrying values of our assets held for investment are not determined based upon the prices at ...
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76
Download DOC - Investor Relations - iStar
https://ir.istar.com/static-files/0d7989d5-0fa7-4163-9882-b8e951f320e2
As of June 30, 2021 the aggregate market value of iStar Inc. common stock, ... The carrying values of our assets held for investment are not determined ...
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https://ir.istar.com/static-files/0d7989d5-0fa7-4163-9882-b8e951f320e2
As of June 30, 2021 the aggregate market value of iStar Inc. common stock, ... The carrying values of our assets held for investment are not determined ...
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77
SEC Proposes Changes to the Definitions of “Dealer” and ...
https://www.jdsupra.com/legalnews/sec-proposes-changes-to-the-definitions-9592447/
Amy Caiazza, Neel Maitra, Eric Quang, Robert Rosenblum ... An investment company registered under the Investment Company Act of 1940.".
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https://www.jdsupra.com/legalnews/sec-proposes-changes-to-the-definitions-9592447/
Amy Caiazza, Neel Maitra, Eric Quang, Robert Rosenblum ... An investment company registered under the Investment Company Act of 1940.".
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78
Hippo Holdings Inc. - cloudfront.net
https://d18rn0p25nwr6d.cloudfront.net/CIK-0001828105/21022258-52df-49c0-8dc2-ae030fb09eb3.rtf
Investing in shares of our common stock or warrants involves risks that are ... changes in a rating agency's determination of the amount of capital required ...
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https://d18rn0p25nwr6d.cloudfront.net/CIK-0001828105/21022258-52df-49c0-8dc2-ae030fb09eb3.rtf
Investing in shares of our common stock or warrants involves risks that are ... changes in a rating agency's determination of the amount of capital required ...
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79
Miss Rachel A. Rosenblum Weds Joshua G. Goldflam Ms ...
https://www.goleader.com/08feb14/10.pdf
(She is the former Miss Rachel Ann Rosenblum). Miss Rachel A. Rosenblum ... investment company. ... determination of what assets are taken.
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https://www.goleader.com/08feb14/10.pdf
(She is the former Miss Rachel Ann Rosenblum). Miss Rachel A. Rosenblum ... investment company. ... determination of what assets are taken.
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80
Quotas and the Transatlantic Divergence of Corporate ...
https://scholarlycommons.law.northwestern.edu/cgi/viewcontent.cgi?article=1759&context=njilb
Véronique Magnier and Darren Rosenblum, Quotas and the Transatlantic Divergence of Corporate Governance, 34 Nw. J. Int'l L. & Bus.
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https://scholarlycommons.law.northwestern.edu/cgi/viewcontent.cgi?article=1759&context=njilb
Véronique Magnier and Darren Rosenblum, Quotas and the Transatlantic Divergence of Corporate Governance, 34 Nw. J. Int'l L. & Bus.
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81
US Securities and Exchange Commission - Investor Relations
https://ir.wisdomtree.com/static-files/a1f4abd9-5206-4c07-8c56-ccd8ea1aabb2
the Company's investment management services business. ... being used by the Company; second, determining whether such hardware and.
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https://ir.wisdomtree.com/static-files/a1f4abd9-5206-4c07-8c56-ccd8ea1aabb2
the Company's investment management services business. ... being used by the Company; second, determining whether such hardware and.
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82
ICO Issuers: Fix the Problem Before the SEC Fixes It for You
https://www.coindesk.com/markets/2018/03/11/ico-issuers-fix-the-problem-before-the-sec-fixes-it-for-you/
Tyler Kirk and Amy Caiazza are associates, and Robert Rosenblum is a partner, at Wilson Sonsini Goodrich & Rosati (WSGR). This article is not ...
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https://www.coindesk.com/markets/2018/03/11/ico-issuers-fix-the-problem-before-the-sec-fixes-it-for-you/
Tyler Kirk and Amy Caiazza are associates, and Robert Rosenblum is a partner, at Wilson Sonsini Goodrich & Rosati (WSGR). This article is not ...
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83
Beneficial Ownership Information Reporting Requirements
https://www.regulations.gov/document/FINCEN-2021-0005-0217
Executives from a supposed investment group that perpetrated a Ponzi ... body) of a reporting company; and (3) direction, determination, ...
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https://www.regulations.gov/document/FINCEN-2021-0005-0217
Executives from a supposed investment group that perpetrated a Ponzi ... body) of a reporting company; and (3) direction, determination, ...
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84
Vironique Magnier* & Darren Rosenblum - SSRN Papers
https://papers.ssrn.com/sol3/Delivery.cfm/SSRN_ID2571714_code391874.pdf?abstractid=2571714
Abstract: The French adoption of a corporate board quota for women reflects. Europe's increasingly stakeholder-oriented approach to corporate governance, ...
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https://papers.ssrn.com/sol3/Delivery.cfm/SSRN_ID2571714_code391874.pdf?abstractid=2571714
Abstract: The French adoption of a corporate board quota for women reflects. Europe's increasingly stakeholder-oriented approach to corporate governance, ...
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85
INFORMATION STATEMENT Mallinckrodt plc
https://mallinckrodt.gcs-web.com/static-files/9e4d43f7-05ee-420b-852d-9832185525d6
Neither Covidien nor Mallinckrodt is an authorized investment firm within the ... In determining to pursue the separation, the Covidien board of directors ...
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https://mallinckrodt.gcs-web.com/static-files/9e4d43f7-05ee-420b-852d-9832185525d6
Neither Covidien nor Mallinckrodt is an authorized investment firm within the ... In determining to pursue the separation, the Covidien board of directors ...
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86
AMMON, et a1 . , Petitioners, SECURITIES AND EXCHANGE ...
https://www.sechistorical.org/collection/papers/1980/1986_0801_HammonSECAnswering.pdf
In the Matter of Jesse Rosenblum, Investment Advisers. Act Release No. ... Where an investment advisory firm, wholly owned and'operated.
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https://www.sechistorical.org/collection/papers/1980/1986_0801_HammonSECAnswering.pdf
In the Matter of Jesse Rosenblum, Investment Advisers. Act Release No. ... Where an investment advisory firm, wholly owned and'operated.
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87
City of Bend v. Juniper Utility Co. :: 2011 - Justia Law
https://law.justia.com/cases/oregon/court-of-appeals/2011/a137087.html
In setting rates for Juniper Utility Company, the PUC determined that ... That investment, for ratemaking purposes, did not include property ...
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https://law.justia.com/cases/oregon/court-of-appeals/2011/a137087.html
In setting rates for Juniper Utility Company, the PUC determined that ... That investment, for ratemaking purposes, did not include property ...
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88
Regulation R (Docket R-1274) - Federal Reserve Board
https://www.federalreserve.gov/SECRS/2007/August/20070809/R-1274/R-1274_48_1.pdf
G. Effecting Transactions in Investment Company Securities . ... determining whether a person is effecting transactions.
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https://www.federalreserve.gov/SECRS/2007/August/20070809/R-1274/R-1274_48_1.pdf
G. Effecting Transactions in Investment Company Securities . ... determining whether a person is effecting transactions.
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89
UNDERSTANDING DIGITAL TOKENS:
https://lowellmilkeninstitute.law.ucla.edu/wp-content/uploads/2018/08/Understanding-Digital-Tokens.pdf
digital token that is not intended to be an investment contract or CFTC ... 37 Robert H. Rosenblum, Chapter 2, Investment Company Determination under the ...
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https://lowellmilkeninstitute.law.ucla.edu/wp-content/uploads/2018/08/Understanding-Digital-Tokens.pdf
digital token that is not intended to be an investment contract or CFTC ... 37 Robert H. Rosenblum, Chapter 2, Investment Company Determination under the ...
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90
STATE OF NEW YORK DIVISION OF TAX APPEALS
https://www.dta.ny.gov/pdf/archive/determinations/819116.det.pdf
for revision of a determination or for refund of sales and use taxes ... After two meetings with the corporation's representative, Mr. David Rosenblum, the.
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https://www.dta.ny.gov/pdf/archive/determinations/819116.det.pdf
for revision of a determination or for refund of sales and use taxes ... After two meetings with the corporation's representative, Mr. David Rosenblum, the.
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91
Determining When Trusts are Property In a Divorce
https://www.griffithslawpc.com/blog-articles/determining-when-trusts-are-property-for-the-purpose-of-equitable-division/
In re Marriage of Rosenblum12 first determined that discretionary interests in trusts were not a property interest. The beneficiary spouse was a co-trustee ...
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https://www.griffithslawpc.com/blog-articles/determining-when-trusts-are-property-for-the-purpose-of-equitable-division/
In re Marriage of Rosenblum12 first determined that discretionary interests in trusts were not a property interest. The beneficiary spouse was a co-trustee ...
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92
The Modern Ground Lease Advantage - Safehold Inc.
https://ir.safeholdinc.com/static-files/1bbeb357-fcf7-463e-b3c5-be5f709bd667
2022 as the record date for the determination of shareholders entitled to receive notice of and ... a firm primarily engaged in investing in.
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https://ir.safeholdinc.com/static-files/1bbeb357-fcf7-463e-b3c5-be5f709bd667
2022 as the record date for the determination of shareholders entitled to receive notice of and ... a firm primarily engaged in investing in.
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93
I. Public Records - Oregon Department of Justice
https://www.doj.state.or.us/oregon-department-of-justice/public-records/attorney-generals-public-records-and-meetings-manual/i-public-records/
[16] Determining whether a private entity is the functional equivalent of a ... But it does not mean that all of the company's records are public records.
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https://www.doj.state.or.us/oregon-department-of-justice/public-records/attorney-generals-public-records-and-meetings-manual/i-public-records/
[16] Determining whether a private entity is the functional equivalent of a ... But it does not mean that all of the company's records are public records.
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94
Decisive fundraising: how to run a tight process that ends with ...
https://medium.com/foothill-ventures/decisive-fundraising-how-to-run-a-tight-process-that-ends-with-multiple-termsheets-8dab056a860a
The goal is to operate with speed and determination. ... Some investors view round extensions negatively — a sign that the company is not executing smoothly ...
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https://medium.com/foothill-ventures/decisive-fundraising-how-to-run-a-tight-process-that-ends-with-multiple-termsheets-8dab056a860a
The goal is to operate with speed and determination. ... Some investors view round extensions negatively — a sign that the company is not executing smoothly ...
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95
NY Car Accident Lawyer - Rosenblum Law
https://rosenblumlaw.com/personal-injury/ny/car-accidents/
In New York, your own auto insurance company will usually be your first ... a medically determined injury or impairment of a non-permanent ...
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https://rosenblumlaw.com/personal-injury/ny/car-accidents/
In New York, your own auto insurance company will usually be your first ... a medically determined injury or impairment of a non-permanent ...
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