Search for: "Securities Investor Protection Corporation"
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24 Dec 2019, 7:38 am
In addition, the applicant must justify the time period sought for confidential treatment and provide a detailed explanation concerning why disclosure of the information is unnecessary for the protection of investors. [read post]
17 May 2022, 8:02 am
In May 2021, President Biden issued the Executive Order on Improving the Nation’s Cybersecurity, calling on government agencies to strengthen and protect their data and information-security infrastructure. [read post]
7 May 2021, 1:35 pm
The SEC alleges that the companies and their CEO and President “sold unregistered securities and made numerous misleading statements to over 150 investors concerning the use of investor proceeds; including false information about prospect wells; false statements about sales commissions; and false guarantees regarding the comingling and loaning of funds. [read post]
5 Mar 2021, 11:00 am
According to the SEC, “all payments are made out of an investor protection fund established by Congress that is financed entirely through monetary sanctions paid to the SEC by securities law violators. [read post]
12 Mar 2018, 12:42 am
Soon thereafter, companies began to step up both their processes for defending themselves against corporate attack, and their plans for incident response. [read post]
13 Jan 2020, 9:11 am
The main reason to choose Delaware is for its predictable laws that protect investors. [read post]
9 Mar 2010, 7:20 am
That’s where “I-SIPC,” or International Security Investor Protection Corporation, comes in. [read post]
13 Feb 2013, 2:50 pm
Conley said that the Commission believes that the district court improperly failed to give any deference to the SEC in this case in its judgment that entering into a consent judgment here protects investors and the public interest, and, for that reason, the decision should be reversed. [read post]
13 May 2008, 10:30 am
The topics include: securities regulation; corporate governance; corporate control transactions; corporate finance; the theory of the firm; law and economics; behavioralism; and intellectual property transactions. [read post]
14 Dec 2018, 7:16 pm
Companies also must should corporate responsibility. [read post]
5 Sep 2012, 9:41 am
However, Chairman Shapiro also commented in her speech about the need for investor protections, and she referenced both future SEC work and other legislation, including the SEC's pending proposed rule to prohibit "bad actors" from using Rule 506 as required under the Dodd-Frank Act. [read post]
23 Mar 2022, 9:44 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]
13 Jan 2012, 12:00 am
The Commodities Future Trading Commission (CFTC) adopted a rule to protect the money of investors in swaps. [read post]
27 Oct 2010, 12:30 pm
” According to AAJ’s report, in almost every case, the Chamber’s litigation on behalf of corporations has come at the expense of Americans’ health or financial security. [read post]
15 Jun 2011, 9:03 am
Written comments may also be mailed to the attention of Joseph Brady at NASAA's corporate office in Washington, D.C. [read post]
20 Apr 2010, 8:00 am
The primary materials for this post are available on the DU Corporate Governance website. [read post]
24 Mar 2022, 9:35 am
Chair Gensler stated that the program “helps us be better cops on the beat, execute our mission, and protect investors from misconduct. [read post]
19 Nov 2018, 6:00 am
American companies are getting hacked, and the Securities and Exchange Commission wants corporate executives to do something about it. [read post]
12 Jun 2024, 6:33 am
Most concerning to investors was the company’s flagrant “end run” around the Securities and Exchange Commission (SEC), the federal regulator charged with protecting investor interests and adjudicating proxy disputes. [read post]
12 Jun 2024, 6:33 am
Most concerning to investors was the company’s flagrant “end run” around the Securities and Exchange Commission (SEC), the federal regulator charged with protecting investor interests and adjudicating proxy disputes. [read post]
