Search for: "Securities Investor Protection Corporation"
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3 May 2024, 6:30 am
Moll (University of Houston), on Tuesday, April 30, 2024 Tags: close corporations, Closely-held corporations, contractual formalism, corporation, formalism, oppression, reasonable expectations, shareholder oppression, Shareholders Action Items for Boards: Where Directors and C-Suite Leaders Align and Diverge Posted by Frank Kurre, Protiviti; Mark Rogers, BoardProspects; and Michael Tae, Broadridge Investor Communication Solutions, on Tuesday, April 30, 2024 … [read post]
3 May 2024, 6:30 am
Moll (University of Houston), on Tuesday, April 30, 2024 Tags: close corporations, Closely-held corporations, contractual formalism, corporation, formalism, oppression, reasonable expectations, shareholder oppression, Shareholders Action Items for Boards: Where Directors and C-Suite Leaders Align and Diverge Posted by Frank Kurre, Protiviti; Mark Rogers, BoardProspects; and Michael Tae, Broadridge Investor Communication Solutions, on Tuesday, April 30, 2024 … [read post]
2 May 2024, 12:35 pm
RBC failed to establish, maintain, and enforce a supervisory system, including written procedures, reasonably designed to achieve compliance with FINRA and Municipal Securities Rulemaking Board rules with respect to representatives’ recommendations of high-yield corporate and municipal bonds. [read post]
2 May 2024, 9:56 am
The RIS comprises of a proposed Directive as regards the EU retail investor protection rules. [read post]
2 May 2024, 8:34 am
NWC 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]
29 Apr 2024, 10:04 am
I have spent the last four decades involved one way or the other with corporate and securities litigation. [read post]
28 Apr 2024, 9:05 pm
One might say that it is easier for business managers and investors to focus only on the primary objective of short-term and long-term profits. [read post]
26 Apr 2024, 12:59 pm
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]
26 Apr 2024, 3:00 am
They are typically used to protect proprietary information, financial data, or other sensitive information. [read post]
25 Apr 2024, 9:05 pm
Wolfe remarked that strong corporate governance, including a well-functioning board of directors and audit committee, are integral to protecting investors and can have a positive impact when they hold management accountable and respond to issues as they arise. [read post]
22 Apr 2024, 1:35 am
Pros of forming an S corp Liability protection: Like LLCs, S corporations help protect the personal assets of their members (in this case, shareholders). [read post]
20 Apr 2024, 9:05 pm
It provides education and compliance tools to investors and firms, writes rules governing day-to-day brokerage operations that augment the investor protections of the federal securities laws, and examines member firms for compliance with those rules and securities laws. [read post]
19 Apr 2024, 12:30 pm
"Strike suits" with "mootness fees" are what the Seventh Circuit calls "no better than a racket" and describes this way: "money moves from corporate treasuries to plaintiffs' lawyers; the investors get nothing, yet the payment diminishes (though only a little) the market price of each share. [read post]
19 Apr 2024, 9:27 am
Terraform also filed a voluntary petition for Chapter 11 bankruptcy protections on January 21. [read post]
18 Apr 2024, 9:01 pm
Every day, we see individuals, corporations, analysts, and others touting these developments. [read post]
18 Apr 2024, 9:25 am
Guidelines and policies have been put in place to safeguard patient data privacy and address security concerns. [read post]
17 Apr 2024, 1:04 pm
Overall, the benefits of the heightened protections greatly outweigh the burdens of the new disclosure requirements on corporations. [read post]
17 Apr 2024, 12:15 am
While it may bring a civil action to enforce the Corporate Securities Law of 1968, it typically would have not involvement in the settlement of a class action lawsuit. [read post]
12 Apr 2024, 12:06 pm
This adjustment increases the likelihood of coverage loss for affected investors. [read post]
12 Apr 2024, 11:27 am
Lincoln Financial Advisors Corporation and Lincoln Financial Securities Corporation agreed to pay an $8.5 million penalty. [read post]
