Search for: "Securities Investor Protection Corporation"
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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]
10 Jan 2024, 9:02 pm
Securities and Exchange Commission (SEC) approval. [read post]
16 Aug 2016, 7:52 am
When an insured credit union is in danger of failing, the NCUA has the authority to step in as a conservator to preserve the credit union’s assets and to protect the insurance fund.Before its failure, Wescorp was the second largest corporate credit union in the United States and, like many financial institutions before the collapse of the housing market, Wescorp invested in RMBS, which are securities backed by thousands of individual residential mortgages. [read post]
3 Sep 2021, 5:46 am
Securities and Exchange Commission, on Saturday, August 28, 2021 Tags: Broker-dealers, Engagement, Financial technology, Investment advisers, Investor protection, SEC, SEC rulemaking, Securities regulation SEC Updates Qualified Client Threshold Posted by Kathryn M. [read post]
7 Apr 2022, 9:05 pm
Why, for example, where shareholder protections are weak, do companies raise funds through the equity markets and public investors subscribe to those shares? [read post]
20 Jun 2024, 6:36 am
Investor protection: Companies have a duty to protect the interests of investors by providing accurate and complete disclosure of material information, avoiding fraudulent or deceptive practices, and maintaining transparency in their communications. [read post]
15 Jan 2023, 2:35 pm
This article explores guidelines from the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) and provides practical strategies for corporations to navigate the investigation process. [read post]
8 Jan 2009, 8:44 am
The corporations and entities that are regulated spend much time and money on lobbyists to protect their interests, not the interests of the investors. [read post]
29 Nov 2017, 4:23 pm
The introduction of these new units portends an eventual uptick in cases involving retail investors and cyber issues. [read post]
1 Dec 2017, 2:55 pm
The introduction of these new units portends an eventual uptick in cases involving retail investors and cyber issues. [read post]
26 Apr 2022, 10:26 am
At National Whistleblower Day 2021, SEC Chair Gary Gensler stated that the agency’s whistleblower program “helps us be better cops on the beat, execute our mission, and protect investors from misconduct. [read post]
16 Mar 2024, 6:30 am
In the SEC’s announcement of the new rules, SEC Chair Gary Gensler underscored the objective of enhanced investor protection and articulated a three-prong approach covering disclosure, the use of projections by issuers and issuer obligations. [read post]
16 Mar 2024, 6:30 am
In the SEC’s announcement of the new rules, SEC Chair Gary Gensler underscored the objective of enhanced investor protection and articulated a three-prong approach covering disclosure, the use of projections by issuers and issuer obligations. [read post]
17 Jan 2012, 6:58 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 Boca Raton, Florida. [read post]
5 Dec 2022, 6:13 am
With the increasing urgency of the global climate crisis, a growing number of States and other stakeholders – including parliamentarians, corporate investors, global youth, the United Nations Secretary General and others – believe that ecocide should also be defined as a crime under international law, alongside genocide, crimes against humanity, war crimes, and the crime of aggression. [read post]
13 Jun 2019, 9:11 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois. [read post]
16 Jun 2020, 9:11 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
22 May 2023, 9:05 pm
The reasons are clear: EU and U.S. lawmakers want to protect investors and ensure the correct functioning of the financial markets. [read post]
18 Dec 2013, 3:58 pm
Their investors may prefer a “C” corporation. [read post]
18 Dec 2013, 3:58 pm
Their investors may prefer a “C” corporation. [read post]
