Respondents apparently requested that the FINRA Arbitration Panel issue subpoenas for two witnesses, who would allegedly testify that Respondents Securities America, Inc. and Talbott could not and would not have discovered anything further about the subject investment or the company offering the investment.
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In the inflationary blowup of the late 1970s, diamonds were the subject of considerable investment fervor.
Also deductible are investment interest, but only to the extent of investment income and trade or business interest (subject to the passive activity loss rules).
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Hundreds of jobs would be created at a new station as part of the Horizon energy project, which is the subject of French and Chinese investment interest.
Furthermore, even the prospectuses that related to the investment options falsely represented that they were subject to comprehensive federal regulation that would protect the interests of consumers.
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The sale is subject to approval by the Committee on Foreign Investment in the United States (CFIUS).
But the Internal Revenue Service, and three federal circuit courts have ruled since then that a trust's investment fees are subject to the same 2% floor for miscellaneous itemized deductions that individual tax filers are subject to.
Are the general partners of alternative investment funds subject to a conflict of interest in valuing partnership assets?
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Then in 2001 and 2003 respectively, the Federal Circuit (in a case involving 13 trusts created for the benefit of Mellon family members) and the Fourth Circuit sided with the IRS and said that investment management fees paid by a trust are subject to the 2% floor on miscellaneous deductions, just as if the cost had been incurred by an individual.
The investment consulting firm overseeing the pension was found to be subject to conflicts of interest as a result of earning millions in undisclosed fees from the investment managers it recommended to the pension.
Financial advisors are the next main group of investment intermediaries, subject to even less transparency than money managers.
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Because not all investment income is subject to the 3.8% tax even for wealthy taxpayers we now have four different preferential rates to contend with.
It has not been prepared in accordance with legal requirements designed to promote the independence of investment research and is not subject to any prohibition on dealing ahead of dissemination.
The transaction is subject to review by the U.S. Committee on Foreign Investment, which evaluates the potential national security effects of transactions.
The full-time post is being created with the help of investment from Sport Scotland and could continue beyond September 2005, subject to a review of the financial situation.
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On the other hand, it could subject employers' wage decisions to much the same uncertainty that affects investment choices: firms would then be more likely to misjudge how much wages should rise.
After all, global investment banks are already subject to the rules of both countries.
In the spirit of Mr Tobin's writings on the subject, it would be plausible to expect a boom in investment when q was high.
The issuance of further shares in the Co-Investment Program to Intel, TSMC and Samsung, as well as the synthetic buyback, are subject to shareholder approval at the extraordinary meeting of shareholders scheduled for September 7, 2012.
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One such subject being the effect of taxes on investment returns.
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Investment companies are also subject to regulations of the Securities Act of 1933, FINRA, and the Securities Exchange Act of 1934.
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You first calculate your overall AGI minus the threshold amount and then determine the amount of net investment income above this that will be subject to tax using some straightforward calculations.
The deal is subject to approval from Australia's Foreign Investment Review Board.
In this role, most are subject to a lower suitability standard for making sure the investment is okay, but not necessarily the best investment product for you.
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Investment companies are subject to stringent federal laws and oversight by the U.S. Securities and Exchange Commission (SEC).
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MEPs want the tougher version eventually to apply to hedge funds and investment managers, who are subject to existing bonus rules designed for banks.
Cuomo's report also conveniently ignores banks that are not subject to the government bailout, namely the many foreign banks and boutique investment banks that can still pay as they see fit, apparently without any criticism from politicians.
It is striking that executives at American investment banks, which have long been subject to fair-value rules, largely accept the regime.
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The tactics of Yorkville Advisors have been the subject of several Forbes articles, which noted that one Yorkville fund, YA Global Investment Fund I, never had a down month from February 2001 to July 2008 until a stunning reversal saw it report a drop of 33% in 2010, most of it in the single month of December 2010, suggesting a big mark-to-market adjustment while the stock market was rising.
This was described last year as being the subject of litigation, along with a statement that Craig Whyte had nothing to do with the investment decision or the running of Worthington.
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