Search for: "Securities Investor Protection Corporation"
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27 Feb 2019, 10:25 am
It then considers the “second sword”, the use of market power by sovereign investors to influence compliance oriented corporate governance reform that parallels those advanced by prosecutors. [read post]
8 Apr 2012, 11:25 am
Commercial Union Insurance Corporation. [read post]
1 Dec 2023, 10:14 am
Field preemption in the context of securities regulation is somewhat murky, but certain complex forms of securities enforcement have traditionally been the domain of the SEC and other federal agencies. [read post]
16 Nov 2011, 1:59 pm
” Gochberg had more than more than $1 million with MF Global – in what he and thousands of other investors thought were safe, protected accounts and accounts kept separate from MF Global’s own money. [read post]
9 Feb 2009, 6:45 am
As noted within the IBEN seminar webpage (link below), "[t]he program will be a panel discussion focusing on the start-up company and the importance of protecting its intellectual property, reasons to secure formal IP protection, common strategies employed by companies, the importance of IP to investors, and recent changes in patent law and the potential impact. [read post]
13 Sep 2022, 5:55 am
In 2012, the Securities and Exchange Commission (SEC) imposed a corporate due diligence requirement for conflict minerals; a pending SEC rule would add further environmental, social, and governance (ESG) disclosure requirements irrespective of industry. [read post]
30 Dec 2021, 4:22 am
Recently, DSTs have been gaining in popularity for a number of reasons including being able to secure financing more readily and attract more investors with lower minimum investments amounts. [read post]
8 Jul 2011, 5:20 am
This would mean that a dollar owed to a Social Security recipient would not be protected, but a dollar that was borrowed to pay a Social Security recipient would be protected. [read post]
20 Mar 2008, 10:00 am
Order Regarding Withdrawals, Unsecured Loans or Advances from Refco Securities, LLC and Refco Clearing, LLC, Exchange Act Release No. 52606 (Oct. 13, 2006).Refco filed for Chapter 11 bankruptcy protection on October 17th and the NYSE formally suspended trading on October 18th after concluding its evaluation. [read post]
2 Jul 2009, 4:05 pm
More important for their situation is that on Thursday, July 2, the deadline came for filing claims by victims for recovery under the Securities Investor Protection Corporation (“SIPC”), the federal insurance agency for the securities brokerage industry. [read post]
17 Apr 2014, 5:05 am
”He talked about the time he joined with the majority in 1989 in declaring that flag-burning was constitutionally protected speech. [read post]
5 Jun 2008, 8:21 pm
In response to this problem, the SEC implemented cross-border exemptions intended to facilitate the inclusion of U.S. investors based on the percentage of target securities of a foreign private issuer held by such investors. [read post]
4 Sep 2017, 2:20 pm
To the extent this defendant-friendly approach actually materializes, it could prove to provide a significant boost to corporate litigants and their D&O insurers. [read post]
23 Aug 2023, 9:01 pm
Such activity is contrary to public interest and investor protection. [read post]
26 Apr 2022, 8:14 am
An EIN is analogous to a Social Security Number for an individual person. [read post]
3 May 2021, 8:26 am
The editorial states that “[w]ildlife crime whistleblowers deserve the same, or better, protection as those of corporate whistleblowers. [read post]
25 Jan 2019, 3:00 am
Typically, however, interests in general partnerships fail the test – investors have sufficient authority and powers negating the need for the protections of the securities laws. [read post]
5 Aug 2011, 6:18 am
Based on the Sandler article, N.P. observed the following: Even though a federal judge described Trustee Picard and his law firm's billing as ‘profligate,’ neither the federal nor the bankruptcy courts have the power to review bills when SIPC [Securities Investor Protection Corporation] is paying or, more accurately, when SIPC is imposing fees on broker-dealers to pay. [read post]
27 Jan 2022, 10:33 am
Panelists included four former SEC officials: MaryJo White (chair), Troy Paredes (Commissioner), Bill Hinman (director of Division of Corporation Finance), and Stephanie Avakian (co-director of Enforcement).Cybersecurity. [read post]
18 Apr 2020, 1:33 pm
By securing your patent’s ownership within a corporation, it is much more likely to withstand the downturns. [read post]
