Search for: "Securities Investor Protection Corporation"
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14 Sep 2011, 10:53 pm
I am an Assistant Professor of Law at Stanford Law School where I teach corporate and securities law. [read post]
18 Feb 2010, 2:00 pm
The investigation was conducted by Assistant Attorneys General Pamela Mahon, Christopher Mulvihill, and Ethan Zlotchew, and Volunteer Assistant Attorney General Motoko Muramatsu, under the supervision of Special Deputy Attorney General for Investor Protection David A. [read post]
1 Nov 2011, 8:11 am
But they want Social Security, Medicare and Medicaid protected. [read post]
13 Jul 2022, 9:01 pm
Securities and Exchange Commission. [read post]
10 Oct 2023, 9:03 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
29 Jan 2024, 12:00 pm
The representative suggested short-term trades in corporate bonds and preferred securities on numerous occasions, causing over $900,000 in losses for 10 clients. [read post]
30 Mar 2010, 11:13 am
For all provisions of S 3166, the amount of any qualified fraudulent investment loss is reduced by any expected recovery through the Securities Investor Protection Corporation or legal action.Many victims, particularly a number of the smaller investors, held Ponzi-related assets in an IRA. [read post]
17 Aug 2007, 5:24 am
I ask if that was envisioned as a potential problem, and how they protect client confidentiality while at the same time needing to provide financial and operational transparency to investors. [read post]
14 Dec 2011, 2:00 am
Progressive politicians called for a regulatory agency to protect small investors. [read post]
14 Oct 2020, 7:19 am
The Crime of Insider Trading Under Federal Law 15 U.S.C. 78j prohibits the use of any deceptive or manipulative device in violation of the regulations and rules of the Securities and Exchange Commission (SEC) that were enacted to protect investors and the public interest. [read post]
5 Nov 2010, 5:00 am
” The proposed rule explains that the SEC will consider higher percentage awards for whistleblowers who first report violations through their compliance programs because “corporate compliance programs play a role in preventing and detecting securities violations that could harm investors. [read post]
19 Jun 2020, 2:10 pm
They also have expertise in debt and equity financings, securities offerings, corporate governance, SEC compliance, shareholder and partnership agreements and LLC operating agreements. [read post]
22 Nov 2011, 7:06 am
Mahoney, Dean of the University of Virginia Law School, spoke on the shift in regulatory philosophy from disclosure-based standards to restricting and shaping contracts between firms and consumers.While the drafters of the first federal securities laws explicitly rejected the merit review approach in favor of more disclosure-based systems, enabling fully-informed investors to decide what is best for them, Mahoney explained, this strategy has eroded over time in favor of policing… [read post]
7 Sep 2010, 9:00 am
[emphasis added] The main functioning role of the TSX then is to protect investors, and not those that might be affected by enterprises that those investors engage in. [read post]
19 Dec 2009, 6:15 am
Corporations do offer limited liability protection for the stockholders. [read post]
8 Oct 2020, 6:06 pm
ASIC registered the ASIC Corporations (Amendment) Instrument 2020/862 (Instrument) which extends the financial advice relief to the early release of superannuation scheme to 15 April 2021, as well as the temporary relief for ‘low doc’ offers, including rights offers, placements and share purchase plans that are made to investors without a prospectus until 1 January 2021. [read post]
3 Dec 2014, 4:33 pm
” Based on the $63 million that Yik Yak secured in its third round of funding, investors seem to be turning a blind eye to the apparently compromised anonymity that the app provides. [read post]
24 Sep 2019, 6:10 am
A more complicated and confusing area is data protection. [read post]
8 Jul 2009, 2:39 pm
Each pre-qualified Legacy Securities PPIP fund manager will have up to 12 weeks to raise at least $500 million of capital from private investors for the PPIF. [read post]
29 Nov 2021, 4:04 am
This contrasts with traditional student loans that, continuing with the analogy to corporate finance, function like a bond. [read post]
