Search for: "Securities Investor Protection Corporation"
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8 Nov 2006, 2:55 am
If the SEC needs additional statutory reforms to protect innocent investors, Frank stands ready to consider such changes. [read post]
8 Aug 2017, 9:30 pm
Further, she suggests that the licensing scheme could involve requiring firms to pay a security deposit to protect investors in the event of wrongdoing, such as embezzlement, by the platform. [read post]
20 Mar 2020, 11:07 am
The Commission recently published the SEC Coronavirus (COVID-19) Response on its website, which summarizes, among other things, market monitoring priorities, guidance and targeted assistance and relief, and investor protection efforts the SEC is undertaking in response to the Coronavirus. [read post]
8 Mar 2012, 12:11 pm
Schapiro described how the budget request "would enable the SEC to hire new subject matter experts to help make the transition to new rule regimes as smooth as possible and to streamline existing processes for market participants, while still maintaining essential protections for investors. [read post]
7 Nov 2011, 6:52 pm
(House Report 112-206)The legislation allows the SEC to require the issuer to make available to investors periodic disclosures regarding the issuer, its business operations, its financial condition, its corporate governance principles, and its use of investor funds. [read post]
4 Oct 2022, 1:43 pm
This has left SMEs either having to operate without proper protection, struggling to manage overly complex tools, or spending beyond their means for cyber security. [read post]
2 Feb 2017, 6:04 pm
OCR found that the breaches resulted from Children’s violation of the HIPAA Security Rule by failing to encrypt laptops and other mobile devices or and implement other appropriate safeguards for the protection of ePHI on mobile devices; Failing to appropriately document its decision to not implement encryption on mobile devices and any applicable rationale behind a decision to use alternative security measures to encryption; and Failing to implement security… [read post]
1 Aug 2022, 9:05 pm
But they argue that protecting investors must include access to quality ESG data given investors’ trillions of investment dollars and their desire to embed ESG into their portfolios and shareholder votes. [read post]
16 Mar 2011, 1:48 am
Securities and Exchange Commission. [read post]
4 Oct 2023, 2:08 pm
Directors and officers who meet these criteria, will normally have protection from liability for breaches of fiduciary duty under the Business Judgment Rule. [read post]
10 Jan 2024, 9:01 pm
The Commission evaluates any rule filing by a national securities exchange based upon whether it is consistent with the Exchange Act and regulations thereunder, including whether it is designed to protect investors and the public interest. [read post]
3 Apr 2019, 10:47 am
” Plaintiffs allege that the statements misled investors regarding “the strength of Equifax’s cybersecurity systems, its compliance with data protection laws, and the integrity of its internal controls. [read post]
14 May 2023, 6:01 am
The Cambridge Analytica scandal and the FTC fine were also the subject of a separate securities class action lawsuit. [read post]
27 May 2023, 9:05 pm
TRR: Beyond ESG investments and disclosure issues, what do you see as the most important regulatory issues facing corporate governance and securities law in the coming years? [read post]
25 Jan 2024, 6:06 pm
This is very different from the dividends investors receive from large corporations that trade on national exchanges, which are typically derived solely from earnings. [read post]
28 Mar 2022, 3:30 am
Instead, these laws generally permit the SEC to require disclosure that is “necessary or appropriate in the public interest or for the protection of investors. [read post]
13 Dec 2013, 5:16 am
D Post Ending of General Solicitation Ban in Jim Hamilton’s World of Securities Regulation Senator Carl Levin (D-MI) said that the SEC’s proposal to monitor concerns over permitting issuers to engage in general solicitation under Rule 506 pursuant to the JOBS Act do not go far enough to protect investors from fraudulent offerings on what the Senator called “the soon-to-be “Wild West” that now exists under the final Rule 506. [read post]
13 Dec 2013, 5:16 am
D Post Ending of General Solicitation Ban in Jim Hamilton’s World of Securities Regulation Senator Carl Levin (D-MI) said that the SEC’s proposal to monitor concerns over permitting issuers to engage in general solicitation under Rule 506 pursuant to the JOBS Act do not go far enough to protect investors from fraudulent offerings on what the Senator called “the soon-to-be “Wild West” that now exists under the final Rule 506. [read post]
2 Oct 2011, 7:23 am
Morgan Securities structured and marketed). [read post]
22 Aug 2012, 6:15 pm
Based on the outstanding 1,229 allowed claims, a $2.4 billion distribution would represent an average payment of $1.975 million and would fully satisfy nearly 90% of outstanding approved claims when accounting for funds previously advanced by Picard and the Securities Investor Protection Corporation ("SIPC"). [read post]
