Search for: "Securities Investor Protection Corporation"
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12 Apr 2016, 3:50 pm
” For purposes of the rule, “covered investment advice” generally includes: A recommendation to a plan, plan fiduciary, plan participant and beneficiary and IRA owner for a fee or other compensation, direct or indirect, as to the advisability of buying, holding, selling or exchanging securities or other investment property, including recommendations as to the investment of securities or other property after the securities or other property are rolled over… [read post]
12 Apr 2016, 3:50 pm
” For purposes of the rule, “covered investment advice” generally includes: A recommendation to a plan, plan fiduciary, plan participant and beneficiary and IRA owner for a fee or other compensation, direct or indirect, as to the advisability of buying, holding, selling or exchanging securities or other investment property, including recommendations as to the investment of securities or other property after the securities or other property are rolled over… [read post]
11 Apr 2016, 3:47 am
The battle reflects growing desires by Democratic lawmakers and their allies to expand the SEC’s work beyond typical investor-protection issues. [read post]
11 Apr 2016, 3:47 am
The battle reflects growing desires by Democratic lawmakers and their allies to expand the SEC’s work beyond typical investor-protection issues. [read post]
8 Apr 2016, 6:09 am
Simmons, Cornerstone Research, on Wednesday, April 6, 2016 Tags: Accounting, Class actions, Derivative actions, External auditors, Financial institutions, Section 11, Securities damages, Securities enforcement, Securities litigation, Settlements, U.S. federal courts, Underwriting Protecting Investors in an Innovative Financial Marketplace Posted by Mary Jo White, U.S. [read post]
8 Apr 2016, 6:09 am
Simmons, Cornerstone Research, on Wednesday, April 6, 2016 Tags: Accounting, Class actions, Derivative actions, External auditors, Financial institutions, Section 11, Securities damages, Securities enforcement, Securities litigation, Settlements, U.S. federal courts, Underwriting Protecting Investors in an Innovative Financial Marketplace Posted by Mary Jo White, U.S. [read post]
7 Apr 2016, 1:36 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
6 Apr 2016, 4:56 pm
SEC Chair White’s March 31, 2016 Speech In her March 31, 2016 Stanford Law School speech SEC Chair Mary Jo White noted that the agency’s core mission is to protect investors and she emphasized that that mission includes protecting investors in private companies. [read post]
4 Apr 2016, 11:08 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 Vero Beach, Florida. [read post]
1 Apr 2016, 6:08 am
Dworkin, Davis Polk & Wardwell LLP, on Sunday, March 27, 2016 Tags: Accounting, Banks, Bonds, Central banking, Corporate debt, Cost of capital, Debt securities, Financial institutions,Financial policies, Financial Regulation, Hedging, Interest, International governance, LIBOR, Risk, Risk management Nordic Corporate Governance and Concentrated Ownership Posted by Klaus Ilmonen, Hannes Snellman, on Monday, March 28, 2016 Tags: Controlling shareholders, EU, Europe,… [read post]
1 Apr 2016, 6:08 am
Dworkin, Davis Polk & Wardwell LLP, on Sunday, March 27, 2016 Tags: Accounting, Banks, Bonds, Central banking, Corporate debt, Cost of capital, Debt securities, Financial institutions,Financial policies, Financial Regulation, Hedging, Interest, International governance, LIBOR, Risk, Risk management Nordic Corporate Governance and Concentrated Ownership Posted by Klaus Ilmonen, Hannes Snellman, on Monday, March 28, 2016 Tags: Controlling shareholders, EU, Europe,… [read post]
29 Mar 2016, 11:06 am
Dec. 10, 2014), finding that prosecutors had not shown that defendants knew that the corporate insider disclosed information in exchange for “personal benefit” (for more detail on Newman, see here). [read post]
29 Mar 2016, 7:00 am
It’s essentially like the corporation’s social security number. [read post]
29 Mar 2016, 7:00 am
It’s essentially like the corporation’s social security number. [read post]
25 Mar 2016, 6:00 am
Securities & Exchange Commission, on Tuesday, March 22, 2016 Tags: Accounting, Accounting standards, Audit committee, Audits, Disclosure, External auditors, Financial reporting,GAAP, Investor protection, PCAOB, Performance measures, SEC, Securities Regulation, SOX SEC Chair on PCAOB Oversight and 2016 Budget Approval Posted by Mary Jo White, U.S. [read post]
23 Mar 2016, 3:01 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 Vero Beach, Florida. [read post]
23 Mar 2016, 6:15 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
21 Mar 2016, 10:39 am
“Keith consistently provides wise counsel, and I look forward to continuing to work with him in protecting America’s investors and markets. [read post]
18 Mar 2016, 6:09 am
Kess & Yafit Cohn, Simpson, Thacher & Bartlett LLP, on Sunday, March 13, 2016 Tags: Disclosure, Financial reporting, Foreign firms, Foreign issuers, Form 6-K, Investor protection, Listing standards,NYSE, Reporting regulation, SEC, SEC rulemaking, Securities Regulation Proxy Disclosure Recommendations Posted by Steven B. [read post]
17 Mar 2016, 11:08 am
Firms must adopt written policies to protect their clients’ private information and they need to anticipate potential cybersecurity events and have clear procedures in place rather than waiting to react once a breach occurs. [read post]
