Search for: "Securities Investor Protection Corporation"
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7 Sep 2012, 6:38 am
Levin Urges SEC to Enhance Investor Protections in Proposed Rules Implementing JOBS Act Ending of General Solicitation in Jim Hamilton’s World of Securities Regulation Senator Carl Levin (D-MI), Chair of the Senate Investigations Subcommittee, urged the SEC to improve the investor protection aspects of proposed regulations implementing the elimination of the ban on general solicitation in Regulation D effected by the Jumpstart Our Business Startups… [read post]
3 Feb 2023, 7:42 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]
12 Dec 2008, 5:05 pm
Giddens referred questions to officials at the Securities Investor Protection Corporation in Washington, D.C. [read post]
22 Jan 2016, 6:13 am
Sullivan, Ropes & Gray LLP, on Sunday, January 17, 2016 Tags: Compliance and disclosure interpretation, Derivatives, Investment Company Act, Investor protection, Leverage,Mutual funds, No-action letters, Private funds, Risk, Risk management, Rule 18f-4, SEC, SEC rulemaking, Securities Regulation, Swaps PECO v. [read post]
9 Jul 2020, 3:54 am
Having a record of board considerations and responses can be very protective. [read post]
14 Sep 2023, 9:01 pm
These efforts also include several consequential rules on open-end funds, money market funds, SPACs, custody of client assets, securities lending, securities-based swaps, corporate share repurchases, and others. [read post]
14 Mar 2024, 9:05 pm
Adisclosure regime can protecte investors and promote good governance, yet it can be manipulated by management to circumvent state law duties, highlighting the limitations of reporting systems in portraying a company’s full business value beyond existing financial metrics. [read post]
3 Jul 2021, 6:00 am
I look forward to working closely with him to protect investors and root out wrongdoing in our markets. [read post]
18 Jan 2019, 11:49 am
As described on the SEC’s home page, the remaining staff is available to respond only to “emergency situations involving market integrity and investor protection, including law enforcement. [read post]
3 Jul 2021, 6:00 am
I look forward to working closely with him to protect investors and root out wrongdoing in our markets. [read post]
24 Jan 2014, 12:57 am
Among the many questions that have arisen in the FDIC’s failed bank cases as individual defendants have tried to rely on the protection of the business judgment rule is whether or not the defense protects officers as well as directors (about which refer here) or whether it affords less protection to the directors and officers of banks than it does to corporate officials at other kinds of companies (about which refer here). [read post]
11 Feb 2013, 7:46 pm
The US NCP concluded in its preliminary assessment that the conduct in question was being effectively addressed through other appropriate means, including a United Nations Security Resolution. [read post]
28 Nov 2017, 7:32 am
Securities and Exchange Commission (SEC) to be protected. [read post]
5 Nov 2015, 11:39 am
There is no value in having telecommunications services if they do not protect the privacy and security of end users; in fact, such services can be positively harmful, causing serious human rights infringements of users. [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]
2 May 2020, 8:00 am
In contrast, a private equity firm is accountable only to its investors. [read post]
6 Aug 2021, 6:00 am
Securities and Exchange Commission, on Saturday, July 31, 2021 Tags: China, Corporate forms, Cybersecurity, Disclosure, Foreign firms, International governance, Investor protection, Registration statements, SEC, Securities regulation SEC Returns Spotlight to Cybersecurity Disclosure Enforcement Posted by William Johnson, Scott Ferber, Matthew Hanson, King & Spalding LLP, on Sunday, August… [read post]
19 Jan 2016, 1:44 pm
The qualified investor exception is not applicable to the extent that an “applicable investor” (other than a qualified shareholder) holds an interest in the qualified shareholder (except for an interest solely as a creditor) and such applicable investor directly, indirectly, or constructively (through certain attribution rules) holds 10 percent or more of the REIT. [read post]
4 Mar 2022, 8:52 am
It reduces opportunities for illegal activities and protects investors from investing in projects that exist as a pyramid scheme. [read post]
6 May 2016, 6:15 am
Halper, Orrick, Herrington & Sutcliffe LLP, on Wednesday, May 4, 2016 Tags: Accounting, Capital formation, Financial reporting, Firm valuation, Internal auditors, Internal control, Investor protection, Regulation S-K, Reporting regulation, SEC, Securities enforcement, Securities fraud, Securities Regulation,Settlements Corporate Resilience to Banking Crises Posted by Ross Levine, University of California, Berkeley, on Thursday, May 5,… [read post]
