Search for: "Securities Investor Protection Corporation"
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11 Jul 2013, 11:00 pm
The U.S Department of the Treasury’s (Treasury) Financial Stability Oversight Council designated two nonbank financial companies as potential threats to financial stability.The Securities and Exchange Commission (SEC) allowed hedge funds and private firms to advertise for money and adopted rules to protect investors from fraud.The U.S. [read post]
1 Dec 2023, 10:53 am
Reports can be made to the Securities & Exchange Commission and Commodity Futures Trading Commission under the Dodd-Frank Act. [read post]
21 Mar 2022, 6:35 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
7 Jan 2020, 2:17 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
5 Feb 2007, 5:47 am
It has now been over four years since the corporate scandals rocked investor confidence and led to the passage of Sarbanes-Oxley. [read post]
17 May 2013, 5:00 am
“Significant additional coverage is essential if investors are to be appropriately protected,” SEC Chairman Mary Jo White told lawmakers today, pointing out that in fiscal 2012, the agency examined only 8% of registered investment advisers, who now number about 11,000. [read post]
17 May 2013, 5:00 am
“Significant additional coverage is essential if investors are to be appropriately protected,” SEC Chairman Mary Jo White told lawmakers today, pointing out that in fiscal 2012, the agency examined only 8% of registered investment advisers, who now number about 11,000. [read post]
26 Aug 2016, 6:04 am
Carlin, Wachtell, Lipton, Rosen & Katz, on Tuesday, August 23, 2016 Tags: Confidentiality, Disclosure, Employees, Exchange Act, Incentives, Rule 21F-17, SEC, SEC enforcement, SEC investigations, Securities enforcement, Securities regulation, Severance, Whistleblowers The New Look of Deal Protection Posted by Fernán Restrepo, Stanford Law School and Guhan Subramanian, Harvard Law School and Harvard Business School, on Wednesday, August 24, 2016 Tags:… [read post]
12 Jun 2012, 10:06 am
So how, if at all, to protect investors? [read post]
12 Jun 2012, 10:06 am
So how, if at all, to protect investors? [read post]
18 Jul 2012, 11:01 am
The only persons or organizations that have the information needed to flesh out the details are the Securities Investor Protection Corporation (SIPC) and its Trustee, Irving Picard (and his army of lawyers, workers, and acolytes). [read post]
28 Feb 2012, 2:00 am
Major themes throughout the conference included a desire for more transparency and increased disclosure, improved cross border transactions and negotiations, as well as several initiatives to proactively protect investors and small businesses during the current volatile market. [read post]
15 Jan 2016, 6:13 am
Eisenberg, K&L Gates LLP, on Sunday, January 10, 2016 Tags: Bonds, Books and records, Broker-dealers, Compliance & ethics, Compliance and disclosure interpretation, Conflicts of interest, Disclosure, Due diligence, Europe, Exchange-traded funds, Financial institutions, Financial Regulation, FINRA,Insider trading, International governance, Misconduct, Municipal securities, Mutual funds, REITs, Risk, Risk disclosure, SEC,Securities enforcement, Securities fraud,… [read post]
5 Jun 2023, 9:30 pm
“Modern conditions have become so complex that it is not only impracticable but even impossible for the investor to investigate the merits if any” of many securities, a treatise writer claimed. [read post]
3 Mar 2009, 5:00 am
Trying to work these protections into a VIPE transaction presents a host of issues with federal securities laws, listing requirements and general corporate governance directives, and require creative drafting and approvals. [read post]
4 Jul 2023, 9:05 pm
This post comes to us from Marco Dell’Erba, a professor of corporate and financial law at the University of Zurich, a research fellow at the Institute for Corporate Governance & Finance at NYU Law School, and a global fellow at the Wilson Center. [read post]
6 Jun 2024, 9:05 pm
The Consumer Financial Protection Bureau (CFPB) finalized a rule creating a registry of corporations that fail to comply with consumer laws and are subject to court orders from local, state, or federal governments. [read post]
10 Nov 2017, 4:59 pm
For example, the telecommunications chapter establishes a hierarchy of interests where unfettered trade in telecommunications services and measures to protect the security and confidentiality of messages are prioritised over privacy of personal data of users. [read post]
9 Jun 2008, 3:42 pm
Prior studies have investigated how proxies for the threat of private securities litigation affect corporate disclosure behavior, but little is known about the behavioral changes of companies that are actually sued. [read post]
23 Nov 2009, 1:16 am
" In a November 21, 2009 editorial in The Buffalo News (here), Schonbrun takes on the plaintiffs' securities class action bar, asserting that class action securities litigation is "skimming hundreds of millions of dollars from investors in U.S. corporations. [read post]
