Search for: "Securities Investor Protection Corporation"
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1 Sep 2010, 2:28 am
In addition to this, retail investors are provided investor friendly methods, procedures and safeguards for buying and selling securities and prevent fraud by overenthusiastic corporate brokers. [read post]
2 Feb 2021, 11:00 am
According to the SEC, “all payments are made out of an investor protection fund established by Congress that is financed entirely through monetary sanctions paid to the SEC by securities law violators. [read post]
2 Feb 2021, 11:00 am
According to the SEC, “all payments are made out of an investor protection fund established by Congress that is financed entirely through monetary sanctions paid to the SEC by securities law violators. [read post]
10 Oct 2017, 5:47 am
With regard to arbitration, the report states: Treasury recommends that the states and the SEC continue to investigate the various means to reduce costs of securities litigation for issuers in a way that protects investors’ rights and interests, including allowing companies and shareholders to settle disputes through arbitration. [read post]
14 Nov 2017, 9:30 pm
In the OTC Market, crowdfunded securities are traded alongside corporate bonds, government securities, and other types of securities not listed on the United States’ larger exchanges. [read post]
26 Aug 2019, 7:02 am
” The court further stated that the Martin Act “should be liberally construed to give effect to its remedial purpose of protecting the public from fraudulent exploitation in the offer and sale of securities. [read post]
11 May 2020, 3:03 am
It also suggests that corporate disclosure and media coverage play a significant role in how corporate responses to crisis management decisions could influence investor behavior and impact stock performance. [read post]
22 Jan 2021, 2:06 pm
Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions. [read post]
22 Jan 2021, 2:06 pm
Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions. [read post]
24 Jan 2014, 12:57 am
Among the many questions that have arisen in the FDIC’s failed bank cases as individual defendants have tried to rely on the protection of the business judgment rule is whether or not the defense protects officers as well as directors (about which refer here) or whether it affords less protection to the directors and officers of banks than it does to corporate officials at other kinds of companies (about which refer here). [read post]
28 May 2015, 6:56 am
To ensure compliance with the rules and regulations of the Florida Securities and Investor Protection Act, the Division of Securities and Finance’s, Bureau of Securities Regulation examines securities dealers, investment advisers, their respective offices, and associated persons who conduct securities business in, to or from Florida. [read post]
24 Aug 2016, 8:09 am
Continuing disclosure provides municipal bond investors with important information, including annual financial reports, on an ongoing basis. [read post]
23 Jun 2023, 9:39 am
” She added that “The Dodd-Frank Act has provided fantastic tools to protect investors. [read post]
12 Mar 2011, 6:26 pm
These have a critical role to play in the regulation and development of the securities markets and protection of interests of investors in securities. [read post]
29 Jun 2018, 10:10 am
As part of the BD process, the firm will need to become a member of at least one self-regulatory organization (“SRO”), which is likely to be FINRA, and become a member of the Securities Investor Protection Corporation (“SIPC”). [read post]
27 Jun 2019, 3:00 am
Waters issued a statement saying that the legislation is intended to protect investors by implementing a “rigorous, fair, and public process for waiving automatic disqualification provisions in the law. [read post]
14 Jan 2024, 6:30 pm
The October Joint Circular also set out the additional investor protection measures, such that: (a) VA-related products (except Specified VA Derivative Products) should only be distributed to professional investors (PI-only selling restriction); and (b) clients dealing in these products must demonstrate adequate knowledge in VAs. [read post]
9 Aug 2021, 2:47 pm
” The complaint also states in the same section that the Gig3 transaction “failed to observe the most basic principle of Delaware corporate governance – namely that a corporation’s governance structure should be designed to protect and promote the interests of public stockholders, not the financial interests of its insiders and controllers. [read post]
19 Aug 2015, 9:00 am
More recently, on February 3, 2015, the Commission released a Risk Alert on cybersecurity issues at brokerage and advisory firms, including with third-party vendors, and proposed suggestions for investors to protect themselves and their customers’ digital data. [read post]
21 Jul 2013, 6:47 am
Form D is not an investor protection requirement; it is there to help the government keep current on trends in the private securities market. [read post]
