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14 Feb 2012, 12:39 pm
The waiver of certain sanctions by the SEC has allowed these financial giants to continue to use rules that let them instantly raise money publicly, without waiting weeks for government approvals, to remain protected under the Private Securities Litigation Reform Act of 1995, and to continue managing mutual funds and help small, private companies raise money from investors. [read post]
4 May 2021, 11:11 am
” The Dodd-Frank Act, passed in 2010, mandates strong whistleblower protection provisions for corporate whistleblowers. [read post]
4 May 2021, 11:11 am
” The Dodd-Frank Act, passed in 2010, mandates strong whistleblower protection provisions for corporate whistleblowers. [read post]
6 Dec 2020, 2:37 pm
For example, in an April 8, 2020 statement from Clayton and SEC Division of Corporate Finance Director William Hinman, the Commission emphasized the importance of full and robust disclosures to investors, precisely because of the disruption that the pandemic outbreak represents. [read post]
10 May 2011, 10:11 pm
In her letter, Schapiro stated that “the SEC has moved aggressively to protect investors from the risks that may be posed by certain foreign-based companies listed on U.S. exchanges. [read post]
15 Nov 2021, 1:30 pm
“We hope the awards made this year continue to encourage whistleblowers to report specific, timely, and credible information to the Commission, which will enhance the agency’s ability to detect wrongdoing and protect investors and the marketplace. [read post]
7 Feb 2024, 9:05 pm
The latter necessitates the protection of ex ante agreed property rights to the greatest possible extent. [read post]
16 May 2022, 4:00 am
The letter goes on to discuss the concept of “investor demand” versus “investor protection,” the authority of the EPA and state corporate law, the risk of unconstitutional compelled political speech, and other statutory considerations, such as the high costs versus speculative benefits, the impact on competition and the extent to which added burdens may discourage companies from going public. [read post]
24 Apr 2008, 6:04 pm
Case Essential To Protecting Analysts From Issuer Retaliation SCOTTSDALE, Ariz. [read post]
26 Nov 2019, 5:22 am
Through this acquisition, Proofpoint will provide security teams with the capability to understand and respond to data being mishandled, whether on a corporate device, in a cloud app like Office 365, or via email allowing teams to rapidly detect, investigate, and prevent potential insider threat incidents. [read post]
3 Dec 2009, 5:00 am
CORPORATE GOVERNANCE. [read post]
21 Feb 2009, 7:21 am
• Retailer Best Buy is laying off 250 employees at its corporate headquarters. [read post]
26 Jul 2019, 6:17 am
Securities and Exchange Commission, on Friday, July 19, 2019 Tags: Accounting, Financial reporting, Investor protection, Long-Term value, Macroeconomics, Short-termism The Bad Actor Disqualification Act and Expected Impact on SEC Settlements Posted by Robin Bergen, Matt Solomon and Joon Kim, Cleary Gottlieb Steen & Hamilton LLP, on Saturday, July 20, 2019 Tags: Advanced notice, Investor… [read post]
17 Nov 2022, 1:23 pm
If the SPV has cash flow and strong collateral, investors may be more inclined to purchase corporate bonds from the SPV instead of the parent company. [read post]
16 May 2007, 2:34 pm
The 40 Act is meant to protect passive investors. [read post]
12 Mar 2012, 1:55 pm
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 Boca Raton, Florida. [read post]
18 Sep 2007, 11:03 am
Lerach, who did not return a telephone call to his office, long championed the class-action system as an equalizer for small investors and other plaintiffs seeking redress of corporate wrongdoing. . . . [read post]
10 Sep 2012, 5:37 pm
" A quick search on Florida’s Division of Corporations website yielded a “Fun Club USA Inc. [read post]
5 Aug 2019, 7:51 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 Franklin, Tennessee. [read post]
15 Jun 2022, 6:30 am
Indeed, the Commission views these rules as “an integral part of the investor protection function of the Commission, and other securities regulators” because these “records are the primary means of monitoring compliance with applicable securities laws, including antifraud provisions and financial responsibility standards. [read post]
