Search for: "Securities Investor Protection Corporation"
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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]
1 Dec 2018, 5:16 am
In July 2018 the Ministry of Corporate Affairs of India released the draft for public comments. [read post]
20 Jun 2024, 1:40 pm
In contrast to the UK’s civil judgment, the US court has now found Lynch and Hussain ‘not guilty’ of all 15wire fraud and securities fraud charges. [read post]
11 Nov 2008, 7:32 pm
Westpoint Group: liquidators made distributions in excess of $30m to investors from assets that ASIC action secured. [read post]
25 Apr 2012, 8:29 am
Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Consumer Financial Protection Bureau can eliminate forced arbitration in consumer financial services contracts, and the Securities and Exchange Commission can do the same in investor contracts with brokerdealers and investment advisers. [read post]
9 Nov 2011, 8:02 am
Areas they are looking at are how to calculate net worth (dealing with debt and house), the use of equity value in a home to increase net worth, and how to address the transition while protecting investors’ rights. [read post]
10 Aug 2022, 6:50 pm
This was enabled in part by the fact that SPACs do not need to comply with many investment regulations intended to protect investors from such lofty projections. [read post]
18 May 2022, 9:01 pm
It protects investors and reduces the cost of capital. [read post]
26 Feb 2021, 3:00 am
This “Institutional Investor” article discusses the study, and cites Trian’s 2014 investment in BNY Mellon as an example of validation capital. [read post]
5 May 2017, 6:14 am
Curnin, Simpson Thacher and Bartlett LLP, on Thursday, May 4, 2017 Tags: Disgorgement, SEC, SEC enforcement, Securities enforcement, Securities fraud, Securities litigation, Statute of limitations, Supreme Court Contested Visions: The Value of Systems Theory for Corporate Law Posted by Tamara Belinfanti, New York Law School, and Lynn A. [read post]
21 Sep 2010, 5:00 am
Sources: Implementating Dodd-Frank Wall Street Reform and Consumer Protection Act — Upcoming Activity from the SEC Dodd-Frank Wall Street Reform and Consumer Protection Act from OpenCongress.org The SEC Releases a Timetable for Dodd-Frank Rulemaking by Ted Allen in the RiskMetrics Group’ Insight [read post]
15 Jan 2016, 1:17 pm
In 1981, Apache Corporation was the first company to form an MLP in the United States. [read post]
18 Nov 2010, 10:10 am
The Department of Labor’s Employee Benefits Security Administration today (November 18, 2010) its Pension Protection Act web page with the Annual Funding Notice for Defined Benefit Plans Proposed Rule, available at here, a fact sheet, available here, a model notice for single employer plans, available here, and a model notice for multiemployer plans, available here. [read post]
29 May 2022, 12:09 pm
Investments Do you comply with applicable prudent investor laws (e.g., UPMIFA)? [read post]
19 Nov 2008, 3:42 pm
Securities and Exchange Commission (who now is a board member at RiskMetrics Group), has stated, "If a country does not have a reputation for strong corporate governance practices, capital will flow elsewhere. [read post]
5 Oct 2017, 9:30 pm
Securities and Exchange Commission (SEC) charged two companies, REcoin Group Foundation and Diamond Reserve Club, with defrauding investors seeking to buy “digital tokens” through a pair of initial coin offerings. [read post]
24 Jan 2019, 2:36 pm
The SEC’s mission, formulated some 85 or so years ago, is to protect investors; to maintain fair, orderly, and efficient markets; and to facilitate capital formation. [read post]
24 Aug 2011, 2:00 am
If, as in the Madoff case, the fund of customer property is insufficient to satisfy every customer’s “net equity” claim, customers may receive an advance of up to $500,000 for their securities claims, funded by the Securities Investor Protection Corporation (“SIPC”), a nonprofit corporation funded by registered broker-dealers and members of national securities exchanges‘ [4] plus a pro rata… [read post]
19 Aug 2016, 6:16 am
Carlin, Wachtell, Lipton, Rosen & Katz, on Friday, August 12, 2016 Tags: Forum selection, Investment Advisers Act, Investor protection, Jurisdiction, Misconduct, SEC, SEC enforcement,Securities enforcement, U.S. federal courts Corporate Culture and the Role of Boards Posted by UK Financial Reporting Council, on Saturday, August 13, 2016 Tags: Accountability, Board communication, Board leadership, Board performance, Boards of Directors, Corporate… [read post]
1 Dec 2014, 4:06 am
” Far from protecting against frivolous litigation, the fee-shifting provisions would “effectively bar any judicial oversight of misconduct of corporate directors. [read post]
