Search for: "Securities Investor Protection Corporation"
Results 2941 - 2960
of 4,476
Sorted by Relevance
|
Sort by Date
27 Jan 2023, 9:49 am
In some circumstances, binding corporate rules (BCRs) can meet the need. [read post]
6 Aug 2015, 6:21 pm
IT security budgeting. [read post]
15 Aug 2011, 5:15 pm
The Article concludes with a proposal that the courts, the Securities and Exchange Commission, or Congress enact a safe harbor to legalize fraud-inhibiting insider trading and thus enable the insider trading laws to more effectively achieve their purported goal of protecting the securities market and investors. [read post]
3 Oct 2012, 5:15 pm
Connecticut Retirement Plans and Trust Funds, concerning the proof that investors need to pursue a securities fraud claim by class-action lawsuit; and Florida v. [read post]
30 Jan 2009, 12:08 pm
In America, unlike other nations, the structure of investor protections against securities fraud stands on two separate legs: Government regulators and private lawsuits. [read post]
21 Aug 2007, 10:00 pm
Rating agencies like Moody's Investors Service, which get paid a lot of money for rating mortgage-backed securities, seem to have played a similar role to that played by complaisant accountants in the corporate scandals of a few years ago. [read post]
15 Feb 2024, 9:01 pm
Investor protection requires the humans who deploy a model to put in place appropriate guardrails. [read post]
20 May 2013, 8:44 am
However, Chinese investor is not the key of this problem. [read post]
2 Dec 2020, 3:00 am
The Amendment adds additional investor protections by mandating that investors have access to the current and publicly available information of issuers whose securities trade on the OTC markets, and it further requires broker-dealers to confirm that certain information about the issuer and its security is current and publicly available before quoting that security. [read post]
1 Mar 2010, 1:14 am
The individual defendants in the case are the officers and directors of the Structured Asset Securities Corporation, which issued the registration statements and acted as depositor in the securitization process. [read post]
5 Sep 2024, 6:10 am
The White Law Group, LLC is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
16 Mar 2011, 6:57 am
But at least one utility, American Electric Power (AEP), still seems to offer that rock-solid protection for a select few: its top executives. [read post]
10 Aug 2011, 5:00 am
Vladimiro Montesinos, Peruvian President Fujimori‘s security advisor, used shell corporations to disguise and move money illegally obtained through defense contracts with the Peruvian government, involving several corporate vehicles in a number of jurisdictions with each vehicle holding bank accounts in yet other jurisdictions. [read post]
21 Mar 2012, 3:06 am
The amendments - proffered by Senators Reed, Landrieu and Levin - would include some very basic investor protections (protections which the Obama Administration originally had called for, but more recently has become deafening silent on). [read post]
1 Dec 2014, 4:05 am
We like disclosure because investors like disclosure. [read post]
7 Jun 2012, 5:00 am
The primary materials for this case may be found at the DU Corporate Governance website. [read post]
9 Apr 2010, 2:33 am
From time to time, the SEC reiterates its view of the critical role companies’ outside directors play in safeguarding investors’ interests. [read post]
26 Jul 2010, 10:19 am
Ideally, securitization should result in assets being held by end investors rather than by leveraged bank intermediaries. [read post]
8 May 2012, 1:07 am
However because these rulings are all dependent on the fact that the securities at issue were distributed only to a select group of investors, these rulings may not be helpful in cases involving securities that were more broadly distributed. [read post]
2 May 2023, 9:01 pm
Further, investors would benefit from the proposal’s changes to enhance the protections that qualified custodians provide, which helps protect assets should the adviser or custodian go bankrupt. [read post]
