Search for: "Securities Investor Protection Corporation"
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24 Oct 2016, 7:30 am
And more security won’t keep out asylum seekers, because when people arrive at our border seeking protection, they often seek out Border Patrol agents for help. [read post]
26 Jul 2018, 3:00 am
Within four business days of making the decision, companies must issue a securities filing called an 8-K if a material corporate event occurs, and the departure of a chief executive certainly qualifies. [read post]
27 Oct 2010, 5:39 am
" 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]
10 Dec 2010, 3:30 am
The plaintiffs brought a class action against defendants, Medical Capital Holdings (MCH), Wells Fargo Bank and the Bank of New York Mellon Corporation (BNYM), for breach of contract; breach of fiduciary duty; securities fraud in violation of Chapter 517 of the Florida Securities and Investor Protection Act (FSIPA); and negligence. [read post]
2 Jul 2010, 5:29 pm
The PCAOB must consider whether different inspection schedules should apply to registered public accounting firms that issue audit reports only for one or more brokers or dealers that do not receive, handle, or hold customer securities or cash, or are not members of the Securities Investor Protection Corporation (SIPC). [read post]
8 Sep 2009, 2:49 am
" After Cheyne collapsed, the investors filed suit against Morgan Stanley, which had promoted and distributed the notes; Bank of New York Mellon, which had provided certain custodial and administrative services for Cheyne; and the rating agencies (including Moody’s and S&P and their corporate parents). [read post]
25 Nov 2016, 1:01 am
Securities and Exchange Commission, on Saturday, November 19, 2016 Tags: Accountability, Algorithmic trading, Corporate crime, Disclosure, Financial regulation, Financial reporting, Insider trading, Investor protection, Market conditions, Misconduct, Private equity, SEC, SEC enforcement, SEC investigations, Securities enforcement, Securities litigation, Securities regulation, Whistleblowers Lower Performance for Target Pay? [read post]
2 Mar 2018, 6:23 am
Proposed legislation introduced in the House on February 14 and the Senate on February 27 would require publicly traded companies to disclose the number and monetary value of settlements paid out as a result of sexual harassment and other discrimination claims against corporate officers based on race, religion, sex, national origin, genetic information, status as a service member, and other criteria to the Securities and Exchange Commission (SEC). [read post]
25 Apr 2011, 5:47 am
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Reform Act”) and its own timetable for proposing regulations required by section 952 of the Reform Act, the Securities and Exchange Commission (the “SEC”) on March 30, 2011 issued a press release and published proposed rules (Release No. 33-9199) (the “Proposed Rules”) for compensation committee and compensation advisor independence requirements. [read post]
2 May 2018, 11:17 am
They wrote: “History … has proved that transparency, investor protection and market integrity are critical to ensuring that innovation continues. [read post]
26 Nov 2022, 6:30 am
Its five board members are appointed by the Securities and Exchange Commission. [read post]
26 Nov 2022, 6:30 am
Its five board members are appointed by the Securities and Exchange Commission. [read post]
14 Jun 2023, 9:01 pm
At the SEC, we work every day to protect investors and facilitate capital formation across the spectrum of communities that make America strong, including underserved communities. [read post]
13 Jun 2024, 9:01 pm
The SEC oversees the Public Company Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC), and the Financial Accounting Standards Board (FASB). [read post]
14 Feb 2018, 3:00 am
Here’s an excerpt: Board members needn’t become cyber security specialists. [read post]
8 Dec 2015, 12:09 pm
For example, everything in the TPP that increases corporate rights and interests is binding, whereas every provision that is meant to protect the public interest is non-binding and is susceptible to get bulldozed by efforts to protect corporations. [read post]
24 Nov 2011, 1:02 pm
Nearly six months after the Securities and Exchange Commission ("SEC") issued a formal request to the Securities Investor Protection Corporation ("SIPC") for coverage of losses suffered by victims of R. [read post]
26 Aug 2010, 11:58 am
Perhaps it’s fitting that a company which sells external security to customers also provides a little security for some of its own. [read post]
29 Nov 2012, 7:39 am
The White Law Group, a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida, will continue to monitor this situation. [read post]
2 Dec 2011, 10:32 am
According to SIPC, commodity futures contracts are ineligible for protection, unless in portfolio margining accounts and defined as customer property under the Security Investor Protection Act. [read post]
