Search for: "Securities Investor Protection Corporation"
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19 Apr 2022, 10:11 am
(CRD#:21786) of Hauppauge, NY, Newbridge Securities Corporation (CRD#:104065) of Farmingdale, NY, and Securities Service Network, Inc. [read post]
4 Jul 2012, 5:23 am
Clearly, the preference seems to be economic efficiency for the corporate sector by providing to access to financing, which results in limited investor protection. [read post]
18 Jun 2021, 5:55 am
Securities and Exchange Commission, on Tuesday, June 15, 2021 Tags: Proxy voting, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation, Shareholder voting Opportunities for Postdoctoral and Doctoral Corporate Governance Fellows Posted by Aisha Saad (Harvard Law School), on Tuesday, June 15, 2021 Tags: Program on Corporate Governance NYSE Amends Related Party… [read post]
14 Jul 2021, 2:23 pm
Momentus, Inc. is a Delaware corporation based in California seeking to develop commercially viable technology it could deploy to provide commercial space services. [read post]
28 Jun 2019, 11:31 am
Director Veronica Allende of the Division of Criminal Justice has also commented on the case: We will continue to work with the Bureau of Securities to protect investors and ensure that dishonest brokers like Siegel face justice. [read post]
27 Oct 2014, 9:59 am
(“Quadrant”) purchased debt securities issued by Athilon and became a creditor stakeholder in the company. [read post]
17 Mar 2023, 3:33 pm
Article prepared by and republished courtesy of our colleagues Jeffrey Hare, John Clarke, John Sullivan, and Adam Dubin; originally published here: https://www.dlapiper.com/en/insights/publications/2023/03/buying-assets-from-the-fdic In the wake of the appointment of the Federal Deposit Insurance Corporation (FDIC) as receiver for Silicon Valley Bank (SVB) and Signature Bank (SB) on March 10 and March 12, respectively, investors may be… [read post]
16 Jan 2022, 12:26 pm
(Michael Nagle, Bloomberg Law; Securities and Exchange Commission). [read post]
25 Feb 2020, 2:32 pm
Although the Division of Corporation Finance does not regularly reorganize its internal structure, such changes do occur from time to time to address changes to the market, trends among public companies, and the need for the SEC to effectively promote its mission to facilitate capital formation and protect investors. [read post]
20 Jan 2021, 5:00 am
They reap enormous financial benefits for themselves and their privileged elite investors but add no value to our economy. [read post]
12 Jun 2015, 5:34 pm
Read about all of our concerns with the TPP: Anti-Circumvention of Digital Rights Management (DRM) Criminalization of Investigative Journalism, Security Research, and Whistleblowing ISP Liability: Internet Intermediaries as Copyright Cops Criminal Copyright Enforcement Expansion of Copyright Terms "Investor-State" Provisions Could Undermine User Protections in Copyright Restrictions on Fair Use Related Issues: Fair Use and Intellectual Property: Defending… [read post]
6 Jul 2022, 6:28 am
In addition, rather than provide “investor protection,” the Proposal seems to be heavily influenced by a small but powerful cohort of environmental activists and institutional investors, mostly index funds and asset managers, promoting climate consciousness as part of their business models. [read post]
15 Sep 2015, 2:09 am
Oracle America, a Eighth Circuit case about the interpretation of the anti-retaliation protection provisions to whistleblowers who report violations of securities laws internally without making a separate report to the SEC. [read post]
6 Jul 2022, 6:28 am
In addition, rather than provide “investor protection,” the Proposal seems to be heavily influenced by a small but powerful cohort of environmental activists and institutional investors, mostly index funds and asset managers, promoting climate consciousness as part of their business models. [read post]
20 Jan 2011, 10:00 am
… The investors who supposedly are being protected by the SEC’s rules here are not unsophisticated small investors. [read post]
16 Dec 2008, 9:36 am
Moves to Liquidate Madoffs Firm - Mergers, Acquisitions, Venture Capital, Hedge Funds -- DealBook - New York TimesThe Securities Investor Protection Corporation announced Monday that it would be liquidating the investment firm run by Bernard L. [read post]
29 Jul 2010, 12:25 pm
Too bad financial firms can’t cobble together filters for questionable disclosures. that might do an even better job of protecting their images. [read post]
29 Nov 2016, 8:41 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]
11 Jul 2013, 6:19 pm
Governmental Impositions and the Private Sector Contributions to the National Social Security System.. 600 .... iii. [read post]
15 Mar 2019, 5:55 am
Securities and Exchange Commission, on Sunday, March 10, 2019 Tags: Broker-dealers, Equity capital, Equity securities, Investor protection, Securities enforcement, Securities fraud, Securities regulation, Transparency Corporate Opportunity Waivers in Private Equity and Venture Capital Investments Posted by Matthew M. [read post]
