Search for: "Securities Investor Protection Corporation"
Results 2681 - 2700
of 4,476
Sorted by Relevance
|
Sort by Date
22 Feb 2016, 4:36 pm
It is important to note that if investors suffer losses on securities found to contain inaccurate or incomplete information, investors do have substantial rights of recovery against the company (including its directors and officers) and the distributors of the securities. [read post]
3 Jan 2024, 1:36 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
12 Sep 2012, 11:19 am
The sensible conclusion was that if a hack or intrusion would be “material” to an ordinary investor, corporations need to disclose the cyber risk and discuss their actions to ameliorate or prevent it. [read post]
9 Oct 2012, 3:53 pm
Symbols, Cymbals and Systems - A Culture Shift Conversation, CFTC, September 21, 2012 In re Citigroup Inc., CFTC, No. 12-34, 9/21/12 (PDF) CFTC Orders China-based Weidong Ge and Sheenson Investments, Ltd. to Pay $1.5 Million in Monetary Sanctions for Violating Speculative Position Limits in Cotton And Soybean Futures, CFTC, September 25, 2012 CFTC Orders Australia and New Zealand Banking Group Ltd. to Pay $350,000 Penalty for Violating Wheat and Cotton Futures Speculative Position Limits, CFTC,… [read post]
27 Nov 2013, 7:58 am
The Glass-Steagall Act created the Federal Depository Insurance Corporation (FDIC) and separated the commercial and investment banking in order to regulate the market and protect investors. [read post]
11 Jun 2009, 11:22 am
June 11, 2009Re: Irving Picard’s Three Percent Commission In The Madoff Case. [read post]
15 Jan 2020, 2:45 pm
The states of New York and Massachusetts, through their Attorney General, each filed a suit against Exxon Mobil Corporation asserting investor fraud related claims. [read post]
15 Jan 2020, 2:45 pm
The states of New York and Massachusetts, through their Attorney General, each filed a suit against Exxon Mobil Corporation asserting investor fraud related claims. [read post]
15 Jan 2020, 2:45 pm
The states of New York and Massachusetts, through their Attorney General, each filed a suit against Exxon Mobil Corporation asserting investor fraud related claims. [read post]
10 Dec 2009, 6:09 am
The stated purpose of the CRARA was to "improve ratings quality for the protection of investors and in the public interest by fostering accountability, transparency, and competition in the credit rating agency industry. [read post]
28 Sep 2022, 8:39 pm
This meant investors relied heavily on the company making accurate and timely disclosures regarding its earnings. [read post]
15 Jun 2010, 9:25 am
In sum, I think we need to reflect on the role of distressed debt investors in corporate restructurings and seek to better define their role by anticipating and planning for their seat at the negotiating table. [read post]
30 Dec 2011, 7:27 am
Becker "provided comments on a proposed amendment to [the Securities Investor Protection Act of 1970] that would have severely curtailed the Trustee's power to bring clawback suits against individuals like him in the Madoff Liquidation. [read post]
2 May 2014, 3:27 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]
21 May 2013, 11:20 am
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]
15 Mar 2017, 7:00 am
KISS – The Keep It Simple Security (KISS) is a simple investment document designed to offer the flexibility of the SAFE, while also incorporating certain investor protections that are seen in convertible notes. [read post]
26 Jul 2022, 9:01 pm
For those of you who haven’t yet memorized it, the agency’s mission comprises investor protection, capital formation, and the maintenance of fair, orderly, and efficient markets.[3] To begin with investor protection, which is a core function of the Division of Investment Management, what matters to investors most is protecting and growing their treasure. [read post]
11 Apr 2024, 4:57 am
Introducing the Enforcement Division panel, Director Grewal reflected on the Division’s commitment to investor protection and the Enforcement Staff’s perseverance despite “significant headwinds,” including attacks on the Commission’s authority, motivation, and integrity. [read post]
4 Oct 2021, 2:32 pm
With the rise in cybercrimes and the sophistication of cybersecurity breaches, companies would fare better in strengthening not only their security measures but also their disclosure protocols to ensure that investors can weigh all information when making a securities decision. [read post]
18 Oct 2015, 4:57 pm
The SEC has brought other enforcement actions against corporate directors during White’s tenure as the agency’s Chair, including the 2013 action and negotiated settlement involving eight former directors of Regions Morgan Keegan, who allegedly did not fulfill their responsibilities to make fair-value determinations of securities held by the company, as required by the federal securities laws. [read post]
