Search for: "Securities Investor Protection Corporation"
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23 Jan 2024, 9:01 pm
Wells Fargo The second settlement against Wells Fargo resolves allegations that the bank hid from investors that it was unnecessarily charging customers for auto-collision protection insurance. [read post]
23 Jan 2024, 4:45 am
International Coordination: FIRRMA emphasized the need for coordination with international allies on investment security matters, acknowledging the global nature of investment flows and the shared interest in protecting national security. [read post]
22 Jan 2024, 9:01 pm
Alan served as Director of the Division of Corporation Finance (“CorpFin”) from 1970 to 1976. [read post]
19 Jan 2024, 3:00 am
The decision protects the group’s efforts to maintain control and secrecy around its operations and finances as critics of Donald Trump warn No Labels could help return Trump to the White House by siphoning voters who might otherwise vote for the former president. [read post]
17 Jan 2024, 1:00 pm
The complaint purports to be filed on behalf of investors who purchased the company’s securities during the period January 26, 2023 to January 3, 2024. [read post]
16 Jan 2024, 2:47 pm
This either-or proposition not only undermined critical investor protections and placed investors at risk, but was also illegal. [read post]
16 Jan 2024, 11:33 am
In Students for Fair Admissions, a non-employment case, a six-member majority ruled that the use of race in the admissions policies of the two defendants (Harvard and the University of North Carolina) violated the Equal Protection Clause of the Fourth Amendment. [read post]
16 Jan 2024, 6:35 am
The proposal describes NACs as corporations whose primary purpose is to manage, maintain, restore, and grow the value of natural assets. [read post]
14 Jan 2024, 6:30 pm
The October Joint Circular also set out the additional investor protection measures, such that: (a) VA-related products (except Specified VA Derivative Products) should only be distributed to professional investors (PI-only selling restriction); and (b) clients dealing in these products must demonstrate adequate knowledge in VAs. [read post]
10 Jan 2024, 9:02 pm
Securities and Exchange Commission (SEC) approval. [read post]
10 Jan 2024, 9:01 pm
The Commission evaluates any rule filing by a national securities exchange based upon whether it is consistent with the Exchange Act and regulations thereunder, including whether it is designed to protect investors and the public interest. [read post]
4 Jan 2024, 2:25 am
The next morning, Diego Fernández Arroyo started his lecture on investor-state dispute resolution. [read post]
3 Jan 2024, 9:01 pm
This latest consultation recognises that the reforms will remove some protections afforded to investors by the current, more prescriptive listing rules. [read post]
3 Jan 2024, 1:36 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
2 Jan 2024, 12:56 pm
Please note that these figures include only federal court securities suit filings; the numbers do not include securities class action lawsuits filed in state court. [read post]
2 Jan 2024, 11:26 am
Five Steps to Protecting Market Integrity: Deter misconduct by enforcing the rules Detect and prevent wrongdoing in the U.S. markets Discipline those who break the rules Educate and inform investors Resolve securities disputes FINRA Regulations regarding Option Trading FINRA Rule 2360 governs option trading. [read post]
2 Jan 2024, 6:30 am
A Flesh-and-Blood Perspective on Hedge Fund Activism and Our Strange Corporate Governance System (discussed on the Forum here) by Leo E. [read post]
2 Jan 2024, 6:30 am
A Flesh-and-Blood Perspective on Hedge Fund Activism and Our Strange Corporate Governance System (discussed on the Forum here) by Leo E. [read post]
28 Dec 2023, 9:05 pm
President Joe Biden stated that the decision “upends the legal framework that has protected America’s waters for decades. [read post]
28 Dec 2023, 9:03 am
It has set up Action Alert calling on whistleblower supports to join them in urging Congress to pass the bill and protect internal corporate whistleblowers. [read post]
