Search for: "Securities Investor Protection Corporation"
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5 Jul 2024, 6:21 pm
It is also in the interest of companies to protect human rights and the environment, in particular given the rising concern of consumers and investors regarding these topics. [read post]
30 Jun 2020, 3:05 am
“All-Purpose” Securities Law Disclosure: Are We Reaching the Breaking Point? [read post]
22 Sep 2013, 2:35 pm
An accredited investor is generally perceived as a sophisticated person who is not in need of enhanced protection by the SEC. [read post]
13 Sep 2009, 7:24 pm
While the Interstate Land Sales Act (“ILSA”) was modeled on the Securities Act of 1933, and the two may share the underlying principles of full disclosure and protection from fraud, ILSA occupies a different universe all its own. [read post]
23 Aug 2024, 11:58 am
According to SEC Chair Gary Gensler, the program “has greatly aided the Commission’s work to protect investors. [read post]
7 Sep 2011, 7:41 pm
Between now and then the California Department of Corporations intends to “study how best to regulate advisers to alternative investment vehicles, while balancing the regulatory burden on such advisers, with any corresponding investor protections issues.” [read post]
7 Sep 2011, 7:41 pm
Between now and then the California Department of Corporations intends to “study how best to regulate advisers to alternative investment vehicles, while balancing the regulatory burden on such advisers, with any corresponding investor protections issues. [read post]
27 Jun 2017, 6:04 pm
[Guest post by Amitabh Robin Singh, who is a corporate lawyer practising in Mumbai]Liability of directors is a sensitive topic in India, particularly for foreign investors who propose to nominate directors to the boards of their Indian investee companies. [read post]
21 May 2021, 5:54 am
Securities and Exchange Commission, on Tuesday, May 18, 2021 Tags: Accredited investors, Audit trail, Disclosure, Form CRS, Information asymmetries, Information environment, Investor protection, Regulation Best Interest, Regulation D, SEC, Securities regulation Chalking Up a Victory for Deal Certainty Posted by Hille R. [read post]
31 Jan 2010, 3:30 pm
Ten years ago, most bootstrapped start-ups were built for the short haul, on an 18-month plan: spend your friends' money, build a prototype and either attract investors or close doors.Fast forward to today, and it's a different world. [read post]
24 Mar 2010, 12:53 pm
Ten years ago, most bootstrapped start-ups were built for the short haul, on an 18-month plan: spend your friends' money, build a prototype and either attract investors or close doors.Fast forward to today, and it's a different world. [read post]
1 Aug 2023, 4:27 pm
The United States Securities and Exchange Commission (“SEC”), for example, has focused on ESG by investigating and taking action against companies that tout business practices such as consideration of environmental sustainability, but fail, in practice, to live up to their claims. [read post]
Letter Concerning PCAOB Staff Guidance: Communications With Audit Committees Concerning Independence
23 Dec 2019, 6:56 am
Posted by Barbara Roper, Consumer Federation of America, on Monday, December 23, 2019 Editor's Note: Barbara Roper is Director of Investor Protection at the Consumer Federation of America. [read post]
19 Apr 2010, 4:00 am
It shows the consequences of an almost entirely unregulated market and the inability, in these circumstances, of large investors (ABN-Amro and IKB, a German Bank) to protect themselves. [read post]
28 Oct 2009, 10:40 am
Page Perry's attorneys are actively involved in representing institutional and corporate investors in securities cases. [read post]
8 Nov 2012, 11:36 am
The company has been working with the Securities Investor Protection Corporation and the Securities and Exchange Commission in order to make sure is clients' accounts are transferred appropriately to another firm that will handle the customers' accounts going forward. [read post]
17 May 2024, 5:00 am
CFPB Survives Another Attack Consumer Financial Protection Bureau v. [read post]
1 May 2013, 7:11 am
Aguilar, who in his speech said “allowing investors to take their legal claims to court would 'enhance investor protection and add more teeth to our federal securities laws,'” isn’t the only regulatory official concerned about this arbitration practice. [read post]
8 May 2024, 2:26 pm
In 2021, President Biden signed the American Rescue Plan Act of 2021, which included “Special Financial Assistance” provisions to help the Pension Benefit Guaranty Corporation bail out financially troubled multi-employer (union) pension plans at a projected cost of $74-$91 billion.[4] And in late 2022, President Biden signed the Consolidated Appropriations Act (CAA) of 2023, which included SECURE Act 2.0. [read post]
26 May 2012, 12:06 am
” Title III enables “crowdfunding,” or the ability to sell securities in small amounts to a large number of investors. [read post]
