Search for: "Securities Investor Protection Corporation"
Results 2921 - 2940
of 4,476
Sorted by Relevance
|
Sort by Date
12 Feb 2016, 6:03 am
Securities & Exchange Commission, on Wednesday, February 10, 2016 Tags: Accredited investors, Board composition, Boards of Directors, Crowdfunding, Disclosure, Diversity, Dodd-Frank Act, Engagement, Investor protection, JOBS Act, Liquidity, Proxy access, SEC enforcement, SEC rulemaking, Securities enforcement, Securities Regulation, Shareholder activism, Shareholder rights Activist Settlements and Heightened Scrutiny—Ebix Posted by… [read post]
12 Feb 2016, 6:03 am
Securities & Exchange Commission, on Wednesday, February 10, 2016 Tags: Accredited investors, Board composition, Boards of Directors, Crowdfunding, Disclosure, Diversity, Dodd-Frank Act, Engagement, Investor protection, JOBS Act, Liquidity, Proxy access, SEC enforcement, SEC rulemaking, Securities enforcement, Securities Regulation, Shareholder activism, Shareholder rights Activist Settlements and Heightened Scrutiny—Ebix Posted by… [read post]
8 Jul 2012, 4:18 pm
Among the issues for the SEC to resolve in its implemented rule are: Verification requirements–securities issuers will have to verify the accreditation of its investors (currently issuers only have to have a reasonable belief that its investors are accredited). [read post]
23 Nov 2011, 1:24 pm
A unit investment trust consists of a basket of securities such as corporate bonds, municipal bonds, mortgage-backed securities, or equities. [read post]
11 Nov 2016, 6:52 am
Spiegel, Skadden, Arps, Slate, Meagher & Flom LLP, on Friday, November 4, 2016 Tags: Accountability, Attorney-client privilege, Compliance & ethics, Corporate crime, General counsel, Inside counsel, Liability standards, Misconduct, Securities enforcement, Securities fraud Brexit on Ice? [read post]
As Part of White House Cyber Security Initiative, President Proposes Uniform Data Notification Rules
13 Jan 2015, 4:18 am
As I discussed in another post (here), these disclosure issues have proven to be an area of focus for the SEC’s Division of Corporate Finance. [read post]
4 Jan 2023, 9:54 am
If the adoption of new solutions slows, investors stop investing in new solution development. [read post]
17 Jun 2010, 9:42 am
Corporate bonds defaulted five times as often. [read post]
11 Dec 2009, 11:38 am
In order to facilitate investors in performing independent due diligence, the SEC regulations must require issuers of asset-backed securities, at a minimum, to disclose asset-level or loan-level data, including data having unique identifiers relating to loan brokers or originators. [read post]
19 Apr 2021, 4:03 am
On the other hand, one can appreciate the hardship on an elderly, outside investor in a profitable LLC who receives no distributions while having to pay taxes on her allocable share of the LLC’s substantial net income. [read post]
9 Oct 2011, 10:07 am
Speaking bluntly, the former SEC official said that the trick would be for FASB to use its endorsement power to protect U.S. interests when consulting with and advising the IASB, but when a standard is finalized by the IASB to endorse it except in the most rare and unusual circumstances.The SEC would retain its ultimate authority under the securities laws to protect investors and prescribe accounting standards. [read post]
24 Sep 2010, 7:00 am
May 5, 2009): In this case, the SEC filed fraud charges against several entities and individuals who operate the Reserve Primary Fund for failing to provide key material facts to investors and trustees about the fund’s vulnerability as Lehman Brothers Holdings sought bankruptcy protection. [read post]
20 Mar 2012, 12:40 am
Note to NY Times bloggers: it's not all about financial types, though the securities regulators would have you think so. [read post]
19 Aug 2016, 6:00 am
by Keith Paul Bishop in California Corporate & Securities Law Unless someone successfully challenges the SEC’s enforcement position, it is likely that companies will eliminate waivers from their severance agreements. [read post]
17 Aug 2009, 5:00 am
Mutual fund investors do not have the rights and protections available to shareholders of the underlying corporations, because a shell company, the mutual fund, is the legal shareholder. [read post]
2 Nov 2018, 7:59 am
On an encouraging note, however, the Division recognized the need to balance its mission to protect investors from the risk posed by fraud and registration violations against the risk of stifling innovation and legitimate capital formation. [read post]
14 Oct 2011, 3:38 pm
- Corporate investigator Philip Segal of Charles Griffin Intelligence on their blog, The Ethical Investigator Social Security Numbers Released by the Social Security Administration? [read post]
25 Aug 2010, 9:00 am
Proxy access is consistent with investor protection, noted the SEC, since investors are best protected when they can exercise the rights they have as shareholders without unnecessary obstacles imposed by the federal proxy rules. [read post]
28 Sep 2011, 3:11 pm
Sarbanes-Oxley Act (SOX) On May 8, 2006, Menendez filed a complaint with the Department of Labor under Section 806 of the Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of SOX, accusing the company of using improper accounting practices to distort its financial statements and mislead investors. [read post]
5 Oct 2011, 3:11 pm
Sarbanes-Oxley Act (SOX) On May 8, 2006, Menendez filed a complaint with the Department of Labor under Section 806 of the Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of SOX, accusing the company of using improper accounting practices to distort its financial statements and mislead investors. [read post]
