Search for: "Securities Investor Protection Corporation"
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5 Apr 2017, 11:22 am
Recently, DSTs have been gaining in popularity for a number of reasons including being able to secure financing more readily and attract more investors with lower minimum investments amounts. [read post]
9 Mar 2023, 9:21 am
Investors in all deals are bargaining for greater corporate control: class votes on a broader list of corporate actions, more negative covenants, more board power. [read post]
1 Dec 2010, 5:50 pm
Every company offering securities to the public is required to seek approval for listing of the securities on one or more recognised stock exchanges. [read post]
11 Aug 2023, 12:49 pm
The White Law Group Could Help You 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 Seattle Washington. [read post]
6 Feb 2018, 10:00 am
Securities Investor Protection Corporation, where the Supreme Court interpreted “by reason of” in a RICO statute by looking at how the phrase was applied in the context of the Sherman and Clayton Acts. [read post]
17 Nov 2014, 10:11 am
Blue Sky Qualification State securities laws that govern the offer and sale of securities are known as “blue sky” laws. [read post]
21 Sep 2011, 12:40 pm
The broad and ambiguous "public interest" jurisdiction of the Canadian securities regulators is rooted in the objectives of securities regulation, investor protection and market efficiency. [read post]
13 Oct 2010, 6:00 am
To determine whether a securities broker is licensed and registered, visit www.finra.org/investors/toolscalculators/brokercheck/index.htm. [read post]
11 Sep 2007, 2:49 am
Russian Law Concerning Investment For economic reforms to flourish and private investors and entrepreneurs to prosper, the legal system must effectively protect private property, defend economic rights against infringement, and establish a secure environment for investment and market relations. [7] In contemplating the accession of the Russian Federation (RF) to the World Trade Organization, a dramatic increase in foreign investment activity is… [read post]
23 Aug 2023, 6:03 am
It’s essential to be aware of these risks and take steps to protect yourself. [read post]
9 Sep 2016, 6:02 am
Larcker & Brian Tayan, Stanford University, on Thursday, September 8, 2016 Tags: Asset management, Compensation committees, Compensation disclosure, Compensation guidelines,Compensation ratios, Executive performance, Firm performance, Institutional Investors, Management, Pay for performance, Say on pay, Surveys Thoughts on the Business Roundtable’s Principles of Corporate Governance Posted by Michael W. [read post]
10 Dec 2019, 2:55 pm
Unlike the NYAG case and the securities class action lawsuit, the Massachusetts AG’s case does not allege securities fraud; the Massachusetts lawsuit is based on consumer protection laws, and claims that consumers were misled about how the company contributes to global climate change and about being an environmentally friendly company. [read post]
8 Oct 2021, 6:00 am
Securities and Exchange Commission, on Wednesday, October 6, 2021 Tags: Artificial intelligence, Capital markets, Cryptocurrency, Derivatives, Financial technology, SEC enforcement, Securities enforcement, Securities regulation, SPACs, Swaps Proposed Legislation to Address the Problem of Woke Corporations Posted by Senator Marco Rubio (R-FL), on Wednesday, October 6, 2021 Tags: Climate… [read post]
18 Jun 2013, 1:15 am
Speakers will include Boston University Law Professor David Webber, who recently posted an interesting article entitled “Institutional Investor Lead Plaintiffs in Mergers and Acquisitions Litigation” on the Harvard Law School Forum on Corporate Governance and Financial Regulation. [read post]
3 Mar 2016, 6:00 am
Other developments The Ontario Securities Commission recently adopted Policy 15-601 – Whistleblower Program to encourage individuals to report information on serious securities- or derivatives-related misconduct to the Commission or, where appropriate in the circumstances, through an internal compliance and reporting mechanism to protect investors. [read post]
10 Nov 2017, 6:22 am
Securities and Exchange Commission, on Thursday, November 9, 2017 Tags: Bitcoin, Disclosure, Engagement, Information environment, Investment advisers, Investor protection, Misconduct, Retail investors, SEC, Securities fraud, Securities regulation, Shareholder proposals, Transparency [read post]
22 Aug 2023, 9:00 pm
Sara Shanti is a partner in the Corporate Practic [read post]
4 Dec 2009, 6:31 am
In addition to using risk management “defensively†to protect the company, the board should consider whether the company is properly positioned to take risks for the sake of growth and development. [read post]
5 May 2009, 7:37 am
The lecture series focuses on topics of corporate securities law and related issues of professional responsibility. [read post]
17 Apr 2014, 4:19 am
Authorized Corporate Representatives. [read post]
