Search for: "Securities Investor Protection Corporation"
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17 Apr 2017, 1:42 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
16 Apr 2017, 6:39 am
The Sarbanes-Oxley Act of 2002 (“SOX” or the “Act”), [2] was passed by Congress in an effort “[t]o protect investors by improving the accuracy and reliability of corporate disclosures made pursuant to the securities laws, and for other purposes. [read post]
15 Apr 2017, 7:10 am
In the case of the very public litigation between holders of GO and Puerto Rico Sales Tax Financing Corporation (COFINA) debt, this has devolved into an acrimonious fight over the very legality of the COFINA bond issuances themselves. [read post]
14 Apr 2017, 5:58 am
Peregrine, McDermott Will & Emery LLP, on Wednesday, April 12, 2017 Tags: Accounting, Corporate fraud, Disclosure, Dodd-Frank Act, Donald Trump, External auditors, Financial regulation, Financial reporting, Investor protection, Oversight, Sarbanes–Oxley Act, Securities regulation, SOX, SOX Section 404, Transparency Corporations and Human Life Posted by Frank Partnoy, University of San Diego, on Thursday, April 13, 2017 Tags: Accountability,… [read post]
14 Apr 2017, 5:00 am
FINRA is asking the public to comment on whether these new and amended rules are sufficient, or whether additional changes are needed to enhance the capital-raising process while ensuring investor protections. [read post]
13 Apr 2017, 9:30 pm
Securities and Exchange Commission (SEC) announced fraud charges against 27 individuals and entities, including three public companies, seven stock promotion firms, and two corporate CEOs, alleging that they engaged in stock promotion schemes that disguised promotional materials as unbiased analyses intended to mislead potential investors. [read post]
13 Apr 2017, 12:43 pm
The SEC alleges that Lawson failed to protect investors from Brogden’s scheme by neglecting to ensure Brogden was in compliance with necessary disclosures, that under Sections 17(a)(2) and (3) of the Securities Act and Section 15(c)(2) of the Exchange Act and Rule 15c2-12 which require underwriters to receive annual financial and operating disclosures from any debt structured deal. [read post]
13 Apr 2017, 5:55 am
This issue is not limited to the ongoing dispute between general obligation (GO) and Puerto Rico Sales Tax Financing Corporation (COFINA) creditors concerning whether the Commonwealth’s sales and use tax represents “available resources” for satisfaction of GO debt,4 although that is a critical dispute. [read post]
12 Apr 2017, 9:35 pm
Department of Health and Human Services, Office for Civil Rights (OCR) charges it violated the Health Insurance Portability and Accountability Act of 1996 (HIPAA) Security Rule by failing to implement a security management process to safeguard electronic protected health information (ePHI). [read post]
11 Apr 2017, 5:37 pm
A securities class action lawsuit, filed last September, remains pending in the Northern District of California. [read post]
11 Apr 2017, 6:00 am
Foreign investors—including U.S. investors—do not enjoy similar openness inside China. [read post]
10 Apr 2017, 8:53 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
7 Apr 2017, 6:14 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
7 Apr 2017, 6:00 am
Dellaert, Erasmus University Rotterdam, on Wednesday, April 5, 2017 Tags: Algorithmic trading, Banks, Broker-dealers, Consumer protection, Financial advisers, Financial regulation, Financial technology, FINRA, Insurance, Investor protection, Systemic risk How Directors Can Use Sustainability to Drive Value Posted by Steven B. [read post]
6 Apr 2017, 8:36 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
5 Apr 2017, 11:22 am
Recently, DSTs have been gaining in popularity for a number of reasons including being able to secure financing more readily and attract more investors with lower minimum investments amounts. [read post]
5 Apr 2017, 5:37 am
The European Securities and Markets Authority (ESMA) has updated its Q&As on the implementation of investor protection topics under MiFID II and MiFIR. [read post]
1 Apr 2017, 8:48 am
On the left, people have argued that the mechanism allows corporate interests to overturn reasonable environmental, health, and safety measures. [read post]
31 Mar 2017, 9:09 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
31 Mar 2017, 6:34 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
