Search for: "Securities Investor Protection Corporation"
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16 Feb 2016, 8:37 am
A company may choose to do a corporate dissolution when it doesn’t need bankruptcy protection (and prefers not to file bankruptcy) but wants a formal, legal wind down of the corporate entity. [read post]
12 Feb 2016, 6:03 am
Securities & Exchange Commission, on Wednesday, February 10, 2016 Tags: Accredited investors, Board composition, Boards of Directors, Crowdfunding, Disclosure, Diversity, Dodd-Frank Act, Engagement, Investor protection, JOBS Act, Liquidity, Proxy access, SEC enforcement, SEC rulemaking, Securities enforcement, Securities Regulation, Shareholder activism, Shareholder rights Activist Settlements and Heightened Scrutiny—Ebix Posted by… [read post]
12 Feb 2016, 6:03 am
Securities & Exchange Commission, on Wednesday, February 10, 2016 Tags: Accredited investors, Board composition, Boards of Directors, Crowdfunding, Disclosure, Diversity, Dodd-Frank Act, Engagement, Investor protection, JOBS Act, Liquidity, Proxy access, SEC enforcement, SEC rulemaking, Securities enforcement, Securities Regulation, Shareholder activism, Shareholder rights Activist Settlements and Heightened Scrutiny—Ebix Posted by… [read post]
9 Feb 2016, 7:30 am
Here, the Broker screwed up twice, first in not being properly licensed, and secondly, by holding the notes and not protecting his investors. [read post]
5 Feb 2016, 6:22 am
Schwartz, University of Colorado Law School, on Tuesday, February 2, 2016 Tags: Agency costs, Behavioral finance, Capital formation, Crowdfunding, Disclosure, Entrepreneurs, Information asymmetries, Investor protection, JOBS Act, Reputation, SEC, SEC rulemaking, Securities Regulation, Small firms, Social networks, Solicitation, Venture capital firms Corporate Governance Survey—2015 Proxy Season Posted by David A. [read post]
29 Jan 2016, 6:07 am
Eisenberg, K&L Gates LLP, on Sunday, January 24, 2016 Tags: Broker-dealers, Compliance and disclosure interpretation, Corporate fraud, Disclosure, Investor protection, Liability standards, Misconduct, Misreporting, SEC, SEC enforcement, Securities damages, Securities Regulation 2015 Securities Law Developments Posted by Jason M. [read post]
28 Jan 2016, 10:19 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]
25 Jan 2016, 6:30 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]
25 Jan 2016, 6:00 am
The securities lawyers of Gana LLP are investigating investors that were recommended to invest in preferred stock issued by RCS Capital Corporation (RCS). [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]
21 Jan 2016, 8:46 am
Some say that small companies and start-ups choosing to register as benefit corporations may have harder time securing investors because benefit corporations may not always have the same returns as regular corporations. [read post]
21 Jan 2016, 8:03 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]
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]
18 Jan 2016, 3:19 pm
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
18 Jan 2016, 2:05 pm
In theory, MLP investments combine the tax benefits of a limited partnership with the liquidity of a publicly traded security, such as stock in a corporation. [read post]
15 Jan 2016, 1:17 pm
In 1981, Apache Corporation was the first company to form an MLP in the United States. [read post]
15 Jan 2016, 6:13 am
Eisenberg, K&L Gates LLP, on Sunday, January 10, 2016 Tags: Bonds, Books and records, Broker-dealers, Compliance & ethics, Compliance and disclosure interpretation, Conflicts of interest, Disclosure, Due diligence, Europe, Exchange-traded funds, Financial institutions, Financial Regulation, FINRA,Insider trading, International governance, Misconduct, Municipal securities, Mutual funds, REITs, Risk, Risk disclosure, SEC,Securities enforcement, Securities fraud,… [read post]
14 Jan 2016, 5:10 pm
EXECUTIVE COMPENSATION RULES The SEC was fairly active in 2015 when it came to addressing executive compensation and hedging rules required by the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
13 Jan 2016, 5:05 pm
Soon all corporations began to recognize and appreciate the need for mechanisms to enable fraud detection and greater financial accountability, while investors increasingly relied upon financial reports as corporations began to participate in the stock market.[2] But when the stock market crashed in 1929, it became apparent that voluntary financial auditing programs alone were insufficient to protect investors from inaccurate and misleading… [read post]
12 Jan 2016, 12:56 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]
