Search for: "Securities Investor Protection Corporation"
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29 Jun 2009, 1:25 pm
Dassin also thanked the SEC, the Securities Investor Protection Corporation, the U.S. [read post]
21 Mar 2019, 6:47 am
Security Interests: Series A Preferred Stock can be (but is rarely) secured with the assets of the Entity. [read post]
18 Dec 2009, 10:30 am
The SEC is getting tough, and has demonstrated here that it will allow no breach of laws and investor protection, no matter how old the case and how messy the other circumstances are for the ultimate client. [read post]
11 Dec 2023, 9:05 pm
The protection that drove the Synutra decision was protection of the controller. [read post]
17 Nov 2009, 6:05 am
Many observers say, while there are some long-term value holders, many of these investors are driven by the goal of short-term performance in their portfolios, engage in relatively short-term trading strategies and have little interest in corporate creation of long-term economic value by the corporations whose securities they own and trade. [read post]
2 Sep 2024, 7:16 am
How Significant of a Corporate and Securities Litigation Risk will AI Prove to Be? [read post]
29 Jul 2014, 3:37 am
They see companies scrambling to contend with major breaches, investor relation delays, and loss of brand and reputation. [read post]
21 Mar 2010, 5:09 pm
“A shareholder who reasonably expected that ownership in the corporation would entitle him or her to a job, a share of corporate earnings, a place in corporate management, or some other form of security, would be oppressed in a very real sense when others in the corporation seek to defeat those expectations and there exists no effective means of salvaging the investment. [read post]
9 Apr 2021, 6:19 am
Taylor (The Wharton School), Bradford Lynch (The Wharton School), and David Larcker (Stanford University), on Friday, April 2, 2021 Tags: Disclosure, EDGAR, Rule 10b-5-1, Rule 144, SEC, SEC enforcement, Securities enforcement, Securities regulation What Boards Need to Know About Shareholder Activism Posted by Steve Klemash and David Hunker, EY, on Saturday, April 3, 2021 Tags: Boards of… [read post]
24 May 2010, 2:14 am
The Senate bill also creates an Investor Advisory Committee that would consult with the SEC on matters pertaining to protecting investor interests (Section 911). [read post]
25 Jun 2012, 11:26 am
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Reform Act”) for adopting regulations required by section 952 of the Reform Act, the Securities and Exchange Commission (the “SEC”) on June 20, 2012 issued a press release and published final rules (Release No. 33-9330) (the “Final Rules”) for compensation committee and compensation adviser independence requirements. [read post]
26 Aug 2010, 12:32 pm
Here's the abstract:The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 has ensured that a shareholder’s ability to place nominees to the board onto the corporate ballot, an objective long advocated by the institutional investor community, will soon be implemented by the Securities and Exchange Commission. [read post]
13 Jul 2022, 6:29 am
The SEC, working in coordination with other government agencies whose primary responsibility it is to protect the environment, also has a role to play to the extent climate risk implicates the SEC’s tripartite mission of investor protection, maintaining fair, orderly and efficient markets, and facilitating capital formation. [read post]
13 Jul 2022, 6:29 am
The SEC, working in coordination with other government agencies whose primary responsibility it is to protect the environment, also has a role to play to the extent climate risk implicates the SEC’s tripartite mission of investor protection, maintaining fair, orderly and efficient markets, and facilitating capital formation. [read post]
10 Aug 2012, 10:00 am
Given Australia’s relatively high corporate tax rate, that solution may offer tax benefits to boot. [read post]
1 May 2020, 6:02 am
Securities and Exchange Commission, on Wednesday, April 29, 2020 Tags: Accounting, Accounting standards, Audits, China, Disclosure, Emerging markets, Financial reporting, International governance, Investor protection, Risk, Securities enforcement, Securities regulation Stakeholder Principles in the COVID Era Posted by Klaus Schwab, Brian Moynihan, Feike Sijbesma and Jim Snabe, World… [read post]
11 Apr 2011, 11:51 am
If upheld and followed, Brown effectively expands SOX whistleblower protections well beyond the intended beneficiary of the law – the "innocent investor. [read post]
5 Aug 2016, 6:27 am
Ferrillo, Weil, Gotshal & Manges LLP, on Tuesday, August 2, 2016 Tags: Cybersecurity, Disclosure, Investment advisers, Investment Advisers Act, Investor protection, REG SCI, Risk, SEC,SEC rulemaking, Succession Comparative Corporate Governance: Old and New Posted by Martin Gelter, Fordham University, on Wednesday, August 3, 2016 Tags: Agency costs, Capital markets, Controlling shareholders, Europe, Germany, Institutional Investors, Legal… [read post]
6 Jan 2018, 10:34 am
Once again, we are grateful to have the opportunity to work with so many amazing founders, advisors, co-investors, and other collaborators to bring the boldstart family together. [read post]
13 Aug 2014, 3:59 am
At a minimum, boards should work with management to assess their corporate policies to ensure how they match-up to the Framework’s guidelines — and whether more may be needed. [read post]
