Search for: "Securities Investor Protection Corporation"
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4 Apr 2014, 6:00 am
Why are investors better protected than consumers? [read post]
3 Apr 2014, 3:44 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
3 Apr 2014, 1:53 pm
Securities Investor Protection Corporation, which held that the civil RICO Act contained both “but for” causation and proximate causation requirements. [read post]
25 Mar 2014, 3:44 pm
“[A]ffording whistleblower protection to mutual fund investment advisers is crucial to Sarbanes-Oxley’s endeavor to ‘protect investors by improving the accuracy and reliability of corporate disclosures made pursuant to the securities laws. [read post]
24 Mar 2014, 11:21 am
Previously, Pamela was the Corporate VP and Deputy General Counsel, Global Corporate and Regulatory Affairs at Microsoft Corp and has practiced law with Covington & Burling (Washington, DC) and Nagashima & Ohno (Tokyo). [read post]
24 Mar 2014, 8:44 am
Hildes, on the right of an investor to sue over a registration statement that had not existed at the time the investor had bought the security. [read post]
19 Mar 2014, 3:45 pm
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 empowers the SEC to reward whistleblowers who provide original information that leads to an SEC enforcement action in which more than $1 million in sanctions is ordered. [read post]
19 Mar 2014, 1:45 pm
In general terms, the law contains provisions that protects individuals who “blow the whistle” on corporate fraud and other investor mischief committed by publicly traded companies. [read post]
18 Mar 2014, 7:57 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
17 Mar 2014, 8:05 am
This would thwart the Act’s express purpose of “protect[ing] investors by improving the accuracy and reliability of corporate disclosures made pursuant to the securities laws. [read post]
17 Mar 2014, 6:59 am
TweetOn Wednesday the Division of Corporation Finance issued a revision to its July 2011 statement on well-known seasoned issuer waivers. [read post]
14 Mar 2014, 11:52 am
Corp Fin may grant such a waiver if it concludes that the waiver is consistent with the public interest and protection of investors. [read post]
10 Mar 2014, 9:01 pm
There Is No Deposit Insurance for Bitcoins There is no Federal Deposit Insurance Corporation (FDIC) or other national bailout system to back Mt. [read post]
10 Mar 2014, 7:35 am
The first is the creation of a capital structure that reflects the contributions to the coop but that is as flexible and intuitive as basic corporate securities instruments. [read post]
9 Mar 2014, 6:34 am
Title III of the JOBS Act created an exemption from registration for the offer and sale of so-called "crowdfunded" securities under the Securities Act of 1933, allowing the offer and sale of securities to an unlimited number of unaccredited investors without registration with the SEC, on an Internet-based platform, through intermediaries (portals) which are either registered broker-dealers or SEC licensed "funding portals." [read post]
8 Mar 2014, 7:15 am
This is the fairest from the standpoint of the common stockholders but many preferred investors will not agree to take the down round risk without any anti-dilution protection. [read post]
8 Mar 2014, 7:15 am
This is the fairest from the standpoint of the common stockholders but many preferred investors will not agree to take the down round risk without any anti-dilution protection. [read post]
SOX Whistleblower Protection Extends to Employees of Private Contractors, According to Supreme Court
6 Mar 2014, 2:26 pm
Purpose of SOX Supports Extending Whistleblower Protections to Employees of Private Contractors The Court emphasized that SOX was enacted to safeguard investors in public companies and to restore trust in the financial markets after the collapse of Enron Corporation. [read post]
6 Mar 2014, 11:11 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
2 Mar 2014, 8:21 am
Aside from the lack of FOIA protection or other assurance of confidentiality from Sen. [read post]
