Search for: "Securities Investor Protection Corporation"
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26 Nov 2014, 3:30 am
Ahdieh’s jumping-off point, section 106 of the National Securities Market Improvement Act of 1996, requires the Securities and Exchange Commission (SEC) to consider, in all of its actions, including rulemaking, “in addition to the protection of investors, whether [an] action will promote efficiency, competition, and capital formation. [read post]
17 Nov 2023, 6:00 am
FTX investors lost nearly $10 billion, making it one of the largest financial frauds in history , according to PBS. [read post]
10 Nov 2017, 6:11 am
According to the manual, the staff has the authority, where consistent with investor protection, to permit registrants to omit or to substitute required financial statements. [read post]
12 Feb 2010, 6:06 am
As long as a forward-looking statement is accompanied by meaningful cautionary language, the Court recognized, the speaker is protected from liability irrespective of his state of mind. [read post]
20 Jan 2021, 9:50 am
District Court, and it failed to include effective protections for national security/intelligence whistleblowers,” according to attorney Stephen M. [read post]
18 Nov 2011, 2:36 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 Boca Raton, Florida. [read post]
27 May 2009, 5:40 pm
That is, if the market did not believe that the covenants would be enforceable, because it did not trust the administration or the courts to enforce them, either those in particular or a more generalized belief that the rule of law had been impaired (imagine you are a foreign government thinking of investing in US corporate debt - is it conceivable, watching events, that you would not at a minimum think that legal rules in investor protection law had been at least somewhat… [read post]
10 Apr 2023, 3:01 pm
The investors would thus be denied California’s unwaivable protections against fraud and deception in securities matters. [read post]
4 Apr 2022, 9:01 pm
Thus, investors should be protected in the same way. [read post]
8 Dec 2017, 6:10 am
Securities and Exchange Commission, on Tuesday, December 5, 2017 Tags: Capital formation, Disclosure, Investor protection, Retail investors, SEC, Securities regulation, Small firms Analysis of SEC Enforcement Division Annual Report Posted by Matthew C. [read post]
24 May 2010, 6:42 am
This important investor protection and fraud deterrent was stripped by two recent decisions by the U.S. [read post]
30 Aug 2009, 3:45 pm
• Reader's Digest filed for bankruptcy protection. [read post]
21 Jun 2010, 6:22 pm
· Puts Investors First on the MSRB Board: Gives investor and public representatives a majority on the MSRB to better protect investors in the municipal securities market where there has been less transparency than in corporate debt markets. [read post]
22 Aug 2008, 8:16 pm
In a statement, the PCAOB said it was "gratified" by the decision and noted the court's opinion is consistent with positions taken by several investors and investor groups, including the Council of Institutional Investors, AFL-CIO, and TIAA-CREF, as well as regulatory bodies such as the Securities and Exchange Commission. [read post]
18 Jan 2019, 3:00 am
That peculiar set of circumstances resulted from an investor request to have the Johnson & Johnson board adopt a bylaw requiring the arbitration of all claims brought by investors arising under the federal securities laws, and providing that any such claims may not be brought as a class and may not be consolidated or otherwise joined. [read post]
16 May 2024, 9:01 pm
In a 2018 op-ed, he said: “If historical trends continue, a handful of giant institutional investors will one day hold voting control of virtually every large U.S. corporation. [read post]
11 Jul 2023, 10:09 am
UBS Securities, LLC, was filed by an ex-employee against UBS Bank. [read post]
30 Jan 2010, 6:25 am
That would help investors to think like owners with rights that would be better protected. [read post]
14 Apr 2017, 5:58 am
Peregrine, McDermott Will & Emery LLP, on Wednesday, April 12, 2017 Tags: Accounting, Corporate fraud, Disclosure, Dodd-Frank Act, Donald Trump, External auditors, Financial regulation, Financial reporting, Investor protection, Oversight, Sarbanes–Oxley Act, Securities regulation, SOX, SOX Section 404, Transparency Corporations and Human Life Posted by Frank Partnoy, University of San Diego, on Thursday, April 13, 2017 Tags: Accountability,… [read post]
25 Aug 2012, 4:24 pm
The defendants had countered that because Fannie Mae is an independent establishment of this country, per the 1934 Securities Exchange Act’s Section 3(c), government agencies are protected from liability. [read post]
