Tag: Securities and Exchange Commission
Government shutdown threatens to stall the recovery in the IPO market
NEW YORK (AP) – The U.S. government shutdown is waving a caution flag at private companies racing to make the move to the public...
‘Alternative investments’ could be part of 401(k), 403(b) plans
August brought news of a potential change on the horizon for investors in 401(k) and 403(b) retirement plans who want more investment options –...
UnitedHealth says it is under a federal investigation and cooperating
UnitedHealth Group says it is cooperating with federal criminal and civil investigations involving its market-leading Medicare business.
The health care giant said Thursday that it...
Crestwood Advisors named a ‘top financial advisory firm’ by Newsweek
BOSTON – Crestwood Advisors Group LLC, a boutique investment advisory and wealth management firm based in Boston with offices in Rhode Island, Connecticut and...
SEC filing of the week: Upper90 raises $23M in funding
PROVIDENCE - Upper90 Capital Management LP, a hybrid credit firm that provides growth capital for technology startups, has raised $23 million for a fund...
Ocean Biomedical faces Nasdaq delisting
PROVIDENCE – Ocean Biomedical Inc. is at risk of being kicked off the Nasdaq exchange for failing to file quarterly and other required financial...
SEC filing of the week: Bally’s sells Asian digital business
PROVIDENCE – Bally's Corp. has agreed to sell its digital interactive business in Asia and some other international markets.
In its filing with the Securities...
SEC filing of the week: Scribl raises $250K for digital game...
PAWTUCKET – Scribl Inc., a collaborative digital game that utilizes creativity to build and measure human connection in the workplace, has raised $250,000.
In its...
SEC filing of the week: Avangrid shareholders approve $2.55B takeover bid
PROVIDENCE – A Connecticut-based energy company that owns a pair of offshore wind farms in New England has accepted a $2.55 billion takeover bid.
In...
SEC filing of the week: Bally’s amends merger agreement with introduction...
PROVIDENCE – Bally's Corp. has amended its merger agreement with hedge fund Standard L.P. to include provisions for a new class of stock.
In an...
