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CFO
November 1, 2004
Ronald Fink |
The PIPEs Are Flowing The number of "private investment in public entities" transactions completed so far this year has already exceeded last year's total, and should approach 2000's record. But some corners of the market continue to attract trouble.   |
CFO
September 1, 2009
Vincent Ryan |
Stock Answers Secondary stock offerings are back in vogue, with a few twists. |
CFO
March 1, 2011
Randy Myers |
Smoother Sailing Increasingly, companies are calling on a new breed of capital-markets advisers, who have substantial investment-banking experience. |
Entrepreneur
September 2004
C.J. Prince |
Relief Valve? Once seen as the scourge of capital raising, PIPEs are not just for troubled companies anymore. Done right, a private investment in public equity could bring your business much-needed cash. |
Entrepreneur
December 2006
David Worrell |
Tricks of the Trade IPOs have gotten tougher, but entrepreneurs have some alternatives up their sleeves. |
IndustryWeek
September 1, 2005 |
Finance: True To Reform New rules affecting the ways companies offer and register securities are slated to take effect on Dec. 1, 2005. |
CFO
May 1, 2007
Lori Calabro |
Merrill Lynch's Jeffrey Edwards After 20 years with the Wall Street giant, Edwards remains a firm believer in the value of long-term investing and diversification. |
Entrepreneur
July 2008
C.J. Prince |
Terms of Endearment The private investment in public equity (PIPE) market is booming. Hold out for the right terms and your business could be, too. |
Financial Planning
May 1, 2006
Marianne Czernin |
Don't Let Simple Things Trip You Up! Financial professionals must take the time to make sure they understand what the various regulatory organizations require them to do before they actually do it. They shouldn't go it alone, or they could find themselves in the same situations as these reps. |
Commercial Investment Real Estate
Nov/Dec 2013
Taylor & Trowbridge |
Group Investing Update Changes to securities laws may change your business model. |
Registered Rep.
October 1, 2004 |
When the Loan Comes Due I switched firms three years ago, joining a wirehouse offering a seven-year forgivable loan as upfront payment. Since hiring on at the new firm, my production has nosedived. If I am fired, can my firm legally ask for the balance of the forgivable loan back? |
BusinessWeek
May 10, 2004
Lewis Braham |
A Pipeline To Bargain Deals Through little-known Private Investments in Public Equity (PIPEs), sophisticated investors buy shares of listed stocks at favorable terms. |
OCC Bulletin
January 15, 2004 |
Reporting and Disclosure Requirements for National Banks with Securities The final rule, entitled "Reporting and Disclosure Requirements for National Banks With Securities Registered Under the Securities Exchange Act of 1934; Securities Offering Disclosure Rules," amends 12 CFR 11 and 12 CFR 16. |
OCC Bulletin
June 26, 2003 |
Securities Offering Disclosure Rules Reporting and disclosure requirements for National Banks with securities registered under the Securities Exchange Act of 1934 |
InsideFlyer
April 2006 |
Hyatt to Give Diamond Members Fast Track though Security Select Gold Passport members will have the opportunity to sign up for the "Registered Traveler" program, designed to give cardholders quick access to airport security lanes. |
On Wall Street
May 1, 2013
Cumming & Horwitz |
SEC Takes on Structured Notes Large banks need to provide better information on these complex securities sold to the wealthy, regulator says. |
Registered Rep.
October 20, 2006 |
Growing Pains AS tenant-in-common properties continue to flood the market, the industry is clearly working to boost demand for its product. One goal is to bring more licensed broker/dealers to the table. Another option is to broaden the target client base. |
Financial Planning
November 1, 2006
Marianne Czernin |
Compliance Tips Registered reps have lots of eyes watching them. Supervisors, compliance personnel, sales directors, and operations all scrutinize reps' activities. But these aren't the only people interested in reps' movements. |
CFO
July 15, 2008
Vincent Ryan |
Mastering the Turnaround What it really takes to survive a corporate bankruptcy. |
