Search for: "Securities Investor Protection Corporation"
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25 Oct 2023, 3:45 pm
According to Allison Herren Lee, former SEC Commissioner and currently Of Counsel at KKC, the SEC Whistleblower Reform Act of 2023 “will help ensure that the SEC Whistleblower Program remains an indispensable tool in the Commission’s efforts to police wrongdoing and protect investors. [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
20 Oct 2023, 2:40 pm
As discussed in our July 2021 Update, the New Marketing Rules permit the use of hypothetical performance metrics if the investment adviser follows certain requirements aimed at protecting investors. [read post]
19 Oct 2023, 9:05 pm
The Securities and Exchange Commission (SEC) adopted new rules to provide greater transparency around short selling, an activity where investors bet that a stock’s price will fall. [read post]
19 Oct 2023, 1:28 pm
Initially, the court denied the motion to dismiss consumer protection law claims simply because the complaint also alleged violation of state securities laws and consumer protection laws don’t cover securities. [read post]
17 Oct 2023, 10:23 am
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]
16 Oct 2023, 7:08 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
10 Oct 2023, 9:03 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
10 Oct 2023, 9:01 pm
For example, how clear is the analytical framework with respect to cash-settled derivative securities that the Release imports from the 2011 security-based swaps release? [read post]
5 Oct 2023, 12:15 am
Other laws, such as the California Corporate Securities Law of 1968, are intended to protect investors in securities transactions. [read post]
4 Oct 2023, 2:08 pm
Directors and officers who meet these criteria, will normally have protection from liability for breaches of fiduciary duty under the Business Judgment Rule. [read post]
2 Oct 2023, 9:01 pm
A while ago, the National Center for Public Policy Research – a conservative organization that focuses its advocacy in the corporate and securities space – filed a lawsuit against Starbucks, arguing that its diversity equity and inclusion program ran afoul of Title VII of the Civil Rights Act of 1964, and Section 1981. [read post]
2 Oct 2023, 10:41 am
In particular, activists seeking change or institutional investors pursuing corporate social responsibility agendas have increasingly turned to derivative actions. [read post]
28 Sep 2023, 6:56 am
Regulators such as the Australian Securities Investment Commission (ASIC) have made it abundantly clear that they are targeting corporate greenwashing. [read post]
26 Sep 2023, 9:01 pm
Several banks assigned portions of the term loan made to Millennium Laboratories LLC (“Millennium”) to institutional investor groups, including mutual funds, hedge funds and other institutions. [read post]
26 Sep 2023, 4:00 am
” This discussion comes about when the SEC has had “Regulation D and Form D Improvements” on the Reg Flex Agenda for some time now, and Commissioner Crenshaw caused a stir at this year’s Northwestern Securities Regulation Institute by noting several areas of concern with Rule 506 and the rise of unicorns that utilize the exemption, including those related to investor protection, inflated valuations, corporate governance and the impact on… [read post]
25 Sep 2023, 2:26 pm
Securities and Exchange Commission (SEC) announced settled charges against the registered investment adviser DWS Investment Management Americas Inc. [read post]
25 Sep 2023, 9:03 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 and Seattle, Washington. [read post]
24 Sep 2023, 9:05 pm
Plaintiffs’ Firms and Issuers as Investor Advocates The typical securities class action involves shareholder-plaintiffs suing issuer-defendants. [read post]
24 Sep 2023, 9:01 pm
Recently, plans to build a corn milling plant in North Dakota have caused states governments to consider their role in protecting both state and national security. [read post]
