Search for: "Securities Investor Protection Corporation"
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26 Mar 2012, 3:12 pm
It appears that securities sold under the crowdfunding exemption would be “restricted securities” and therefore subject to Rule 144 restrictions for public resales. [read post]
10 Oct 2023, 9:01 pm
For example, how clear is the analytical framework with respect to cash-settled derivative securities that the Release imports from the 2011 security-based swaps release? [read post]
19 Jan 2012, 3:49 pm
However, the procedural protections against the most vexatious lawsuits against corporations would not operate in the world of arbitration. [read post]
1 Mar 2016, 3:20 pm
Dax White is the managing partner of the White Law Group, a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
5 Apr 2012, 6:26 pm
What controls will issuers and underwriters develop to protect themselves from liability that might be associated with test the waters communications? [read post]
26 Jul 2021, 2:44 pm
The situation is relatively simple from an insurance situation if MXY D is a subsidiary of MXY H; however, if their corporate relationship is somehow different that that, questions could arise whether and to what extent MXY H’s insurance policy would protect the individuals in their capacities as executives of MXY D. [read post]
6 May 2014, 10:40 am
Clement spends his life in the middle of corporate financial difficulty. [read post]
19 Apr 2022, 4:14 pm
The Complaint Fails to State a Claim Under Section 10(b) Because Twitter’s Statements Are Not False or Materially Misleading.Section 10(b) of the Exchange Act makes it unlawful:To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange . . . any manipulative or deceptive device or contrivance in contravention of such rules and regulations as the SEC may prescribe as necessary or appropriate in the public interest or… [read post]
30 Jun 2014, 1:36 pm
Building on the so-called Arrow information paradox, Coooter describes various legal mechanisms for resolving the double trust problem, such as contract law, corporate law, securities law, and patent protection, as strategies to navigate information and trust asymmetries between innovators and financiers. [read post]
2 Mar 2014, 8:21 am
Aside from the lack of FOIA protection or other assurance of confidentiality from Sen. [read post]
3 Dec 2023, 9:05 pm
For example, a prospectus written on paper must be filed with the SEC and provided to investors about the offering and sale of securities. [read post]
13 Jan 2014, 2:48 pm
<> Green Bond Principles Created to Help Issuers and Investors Deploy Capital for Green Projects - Bank of America Corporation (NYSE: BAC), Citigroup Inc. [read post]
30 Oct 2009, 7:05 am
On October 27, 2009, Irving Picard, the trustee in the Madoff liquidation proceeding under the Securities Investor Protection Act (the “Madoff Proceeding”), together with Securities Investor Protection Corporation (“SIPC”) President Stephen Harbeck, held a telephone briefing with reporters on progress to date of the Madoff Proceeding. [read post]
12 Jul 2011, 7:21 am
Existing research and available empirical evidence provide no basis for concluding that tightening the rules governing outside blockholders would satisfy the requirement that Commission rulemaking protect investors and promote efficiency, and indeed raise concerns that such tightening could harm investors and undermine efficiency. [read post]
9 Jan 2020, 7:04 am
Accordingly, the proposed order attempts to modernize the governance of securities information processors (SIPs) by mandating governance provisions for the new consolidated data plan. [read post]
7 Jun 2018, 7:22 am
Clayton said that the level of funding requested for FY 2019 will enable the SEC to continue its work in a number of important areas, including: leveraging technology and enhancing cybersecurity and risk management; facilitating capital formation; protecting Main Street investors; and maintaining effective market oversight by expanding the agency’s depth of expertise. [read post]
15 Jan 2010, 5:40 pm
Flexibility of financing is available through the sale of various types of securities to many investors. [read post]
5 Aug 2011, 11:27 am
Grimm, these internal compliance programs are important as they protect shareholders and investors and save time and money by stopping a problem before it causes excessive damage. [read post]
5 Aug 2011, 11:27 am
Grimm, these internal compliance programs are important as they protect shareholders and investors and save time and money by stopping a problem before it causes excessive damage. [read post]
22 Jan 2018, 5:59 am
As that plan contemplates, we are currently making preparations for a potential shutdown with a focus on the market integrity and investor protection components of our mission. [read post]
