Search for: "Securities Investor Protection Corporation"
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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]
12 Apr 2024, 4:00 am
Kushner’s $3 billion fund is financed almost entirely from overseas investors with whom he worked when he served as a senior adviser in the Trump White House. [read post]
12 Apr 2024, 3:30 am
Many in the field will also be aware of a related debate over the conventional consensus that securities regulation should focus on protecting financial investors. [read post]
11 Apr 2024, 4:57 am
Introducing the Enforcement Division panel, Director Grewal reflected on the Division’s commitment to investor protection and the Enforcement Staff’s perseverance despite “significant headwinds,” including attacks on the Commission’s authority, motivation, and integrity. [read post]
10 Apr 2024, 3:45 pm
This is particularly true for large corporate debtors, and this trend has held even during the most recent financial difficulties caused by the COVID-19 pandemic. [read post]
