Search for: "Securities Investor Protection Corporation"
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31 Jan 2009, 2:34 pm
SIPC stands for the Securities Investor Protection Corporation. [read post]
17 Jun 2018, 9:01 pm
They have duties to protect the interests of the corporate shareholders from violations by the advisers who manage the funds. [read post]
1 Feb 2011, 9:12 am
The following suggestions address some of the actions Delaware corporations should consider: TREATMENT OF BROKER NON-VOTES AND ABSTENTIONS On July 1, 2009, the Securities and Exchange Commission (the “SEC”) approved an amendment to New York Stock Exchange Rule 452 that eliminated discretionary voting by brokers in uncontested director elections, effective January 1, 2010. [read post]
4 Aug 2024, 9:05 pm
See Dep’t of Homeland Security v. [read post]
23 Feb 2011, 5:00 am
What Morrison did not address, however, was whether investors purchasing ADRs in the US could avail themselves to the protections of Section 10(b) and Rule 10b-5. [read post]
8 Sep 2024, 9:01 pm
Statements made by both Director of the Consumer Financial Protection Bureau Rohit Chopra and Mr. [read post]
22 Jul 2014, 12:32 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
12 Aug 2023, 5:34 pm
The boards are overseen by the IFRS Foundation Trustees, who in turn are accountable to the IFRS Foundation Monitoring Board of public authorities with responsibility for corporate reporting. [read post]
1 Jun 2008, 10:07 am
A more detailed analysis of the Countrywide court’s discussion of Rule 10b5-1 plan issues can be found on The Corporate Counsel.net blog, here.) [read post]
24 Jul 2023, 10:00 pm
Under securities laws, the SEC sets forth a definition of whistleblower to mean an individual who, alone or jointly with others, provides original information or analysis in writing to the SEC relating to a possible violation of the federal securities laws. [read post]
23 Nov 2011, 7:43 am
Separate proceedings for recovery pursuant to the Securities Investor Protection Corporation (SIPC) are anticipated. [read post]
22 Nov 2011, 9:00 pm
Separate proceedings for recovery pursuant to the Securities Investor Protection Corporation (SIPC) are anticipated. [read post]
24 Feb 2018, 12:00 am
The primary materials for this case may be found on the DU Corporate Governance website. [read post]
4 Feb 2015, 9:21 am
Where auditors, like EYHM, have been sued by investors, they have often successfully demonstrated that they were more likely the targets of such egregious frauds than participants in them. [read post]
22 Sep 2021, 8:26 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
15 Dec 2014, 4:44 pm
The Advisers Act was amended as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act adopted in 2010. [read post]
23 Aug 2019, 6:17 am
Securities and Exchange Commission, on Saturday, August 17, 2019 Tags: Accredited investors, Capital formation, Investor protection, Private equity, Private firms, SEC, Securities regulation, Venture capital firms Making Sense of Monte Carlo Posted by Ben Burney, Exequity, LLP, on Sunday, August 18, 2019 Tags: Accounting, Accounting standards, Equity-based compensation, Executive… [read post]
18 Dec 2009, 1:06 am
Plaintiffs filed a securities class action lawsuit on behalf of investors who purchased Huntington shares between the date of the merger and November 16, 2007. [read post]
9 Oct 2019, 11:04 pm
This would overcome characterizing local community challenges to land investment contracts as a cost to an investor rather than as constituting breaches of internationally and nationally protected rights; (iii) to embrace termination clauses that would allow a state to terminate a land investment contract that would be in breach of the protection, respect and fulfillment of human rights; (iii) to consider the extra-territorial obligations of private and public… [read post]
27 Mar 2019, 5:03 pm
Our firm has also handled many shareholders and LLC disputes between owners of closely held corporations, and LLCs. [read post]
