Search for: "Securities Investor Protection Corporation"
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1 Sep 2023, 6:30 am
SEC in Securities Enforcement Cases Posted by J.W. [read post]
1 Sep 2023, 6:30 am
SEC in Securities Enforcement Cases Posted by J.W. [read post]
31 Oct 2022, 6:30 am
And the orthodox view that securities regulation should focus on disclosures material only to investors may be nearing collapse, as the Securities and Exchange Commission (SEC) pushes forward on rules compelling companies to disclose information about climate change. [read post]
13 Apr 2023, 3:15 am
Other Disclosure Obligations for China-based Issuers In July 2021, Chair Gensler issued a Statement on Investor Protection Related to Recent Developments in China. [read post]
28 Jul 2010, 5:21 am
I want to give credit to Weil Gotshal & Manges, Davis Polk & Wardwell, as well as the Harvard Law School Forum on Corporate Governance and Financial Regulation. [read post]
2 Jan 2024, 11:26 am
Five Steps to Protecting Market Integrity: Deter misconduct by enforcing the rules Detect and prevent wrongdoing in the U.S. markets Discipline those who break the rules Educate and inform investors Resolve securities disputes FINRA Regulations regarding Option Trading FINRA Rule 2360 governs option trading. [read post]
27 May 2015, 9:30 pm
This new agency would take on some of the bank supervisory functions currently performed by the Federal Reserve, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, as well as some of the investor protection and market stability functions the U.S. [read post]
25 Apr 2013, 11:03 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
12 Jan 2012, 2:00 am
In particular, the staff is requesting enhanced disclosures, on a country-by-country basis, of the following information: gross sovereign, financial institutions and non-financial corporations’ exposure; quantified disclosure explaining how gross exposures are hedged; and a discussion of the circumstances under which losses may not be covered by purchased credit protection. [read post]
11 Sep 2022, 9:01 pm
Failure to do so would constitute an abdication of our responsibilities, and an abandonment of the investors who have been harmed in those markets, including through being denied essential disclosures and protections. [read post]
16 Mar 2017, 5:00 pm
A recent law firm paper contends that “contrary to popular belief, development stage biotech companies actually have less to fear from federal securities cases that do many other types of corporate defendants that have a far easier time securing insurance coverage. [read post]
3 Jan 2013, 12:28 am
In addition, most of the antitrust litigation filed to date has named only corporate defendants. [read post]
20 Feb 2020, 2:30 pm
ESMA, with its overview of the entire investment chain, is in a unique position to support the growth of sustainable finance while contributing to investor protection, orderly and stable financial markets. [read post]
19 Nov 2020, 2:37 pm
While these cases are not geared towards protecting employees or making them whole, they can offer an incentive for corporations to address sexual harassment before it becomes a scandal. [read post]
1 Apr 2020, 3:08 pm
Several laws related to corporate fraud include whistleblower protections, such as the Dodd-Frank Act, the Sarbanes-Oxley Act, and the Commodity Exchange Act. [read post]
22 Jun 2021, 11:53 am
Securities and Exchange Commission (SEC) announced it was requesting public input on the agency’s handling of climate change disclosures. [read post]
10 Jun 2008, 1:46 pm
This latter prescription is similar to the comply or explain concept employed by European Union corporate governance codes, such as the UK's Combined Code.Professor Paredes is the heir to the definitive Loss-Seligman-Paredes treatise on securities regulation. [read post]
24 Aug 2023, 8:57 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
22 Jun 2022, 9:01 pm
Consumer Protection Standards The bill also proposes adding consumer protection standards for digital assets. [read post]
21 Mar 2008, 9:17 am
He sees them as enhancing efficiency through better governance and enhancing liquidity and dispenses with "investor protection" and its concerns with fair price and risk. [read post]
