Search for: "Securities Investor Protection Corporation"
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26 Jan 2023, 9:05 pm
New rules and regulations from the Securities and Exchange Commission (the SEC) use the lever of mandated disclosure to push for corporate governance actions, and in some cases what amounts to reforms. [read post]
21 Feb 2023, 12:21 pm
Securities and Exchange Commission (SEC) announced the establishment of a $178.6 million Fair Fund to be distributed to investors harmed in Danske Bank’s historic money laundering scheme. [read post]
26 Mar 2023, 9:05 pm
I therefore argue that companies may need stronger protection from private lawsuits while they get up to speed. [read post]
27 Jul 2010, 8:00 am
Investor Protection – Amendments to the 1933 Act (footnote 11) and the 1934 Act (footnote 12) Changes to SEC Regulation D The SEC adopted Regulation D in 1982 (footnote 13) to provide a safe harbor exemption from registration for certain securities offerings of securities. [read post]
28 Sep 2017, 2:09 pm
Corporate fraud in relation to initial public offerings is performed to attract more investors, which drives up the price of securities and hence, enriches the sellers of the securities. [read post]
3 Feb 2023, 9:16 am
’” “Taking action to impede former employees from communicating directly with the Commission staff about a possible securities law violation is not only bad corporate governance, it is illegal,” said Jason Burt, Director of the SEC’s Denver Regional Office. [read post]
12 Dec 2014, 2:46 pm
The White Law Group, LLC is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
24 Jan 2021, 5:37 am
” According to the AIG memo, the way these procedures will operate is that a representative investor protection organization may “register for investors” with the court once the investors’ information has been verified by the securities registration and clearing organization. [read post]
13 Mar 2024, 9:05 pm
Delaware resolves the paradox by having multiple enabling statutes: the Limited Liability Company Act, which allows the widest possible freedom of contract, and the General Corporation Law, which makes certain protections for investors mandatory. [read post]
8 Aug 2007, 9:16 am
When it comes to protecting investors, the Sarbanes-Oxley Act of 2002 has been successful, Securities and Exchange Commission Chairman Christopher Cox said after the fifth anniversary of the law's passage. [read post]
24 Jun 2016, 9:48 am
Yet, lawmakers never included investor protections in the enabling EB-5 legislation. [read post]
1 Jan 2018, 5:54 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
25 Jul 2017, 7:03 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
22 May 2017, 8:05 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
26 Dec 2019, 6:30 am
CII said in its letter that the guidance and proposed rule changes not driven by investor protection because there is no “call from the investment community” or regulatory intervention on the issue of proxy voting. [read post]
25 Oct 2010, 4:45 am
Unprecedented (for the securities laws) treble damage “fiduciary duty” liability for unauthorized expenditures. [read post]
15 May 2018, 12:30 pm
The funds filed for bankruptcy protection last year. [read post]
15 Apr 2008, 6:50 am
That meant investors were unable to sell their securities. [read post]
29 Sep 2010, 12:07 pm
This new law also quintuples penalties for misrepresentations of membership in or protections offered by the Securities Investor Protection Corporation. [read post]
26 Apr 2019, 1:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4564/securities-industry-commentator/"Protecting Investors from Misconduct / FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct" (FINRA Regulatory Notice 19-17) Bottle of White, Bottle… [read post]
