Search for: "Securities Investor Protection Corporation"
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28 Apr 2012, 9:44 am
I certainly don’t claim to know whether the increasing protection of corporate speech will implicate securities regulation in such a way as to spur the SEC or Congress to look for regulatory alternatives. [read post]
27 Apr 2012, 4:56 am
Yet the Telus proposal, and in particular the actions of certain investors, raise investor protection issues. [read post]
26 Apr 2012, 6:37 am
LP owners do not have the same legal rights as corporate shareholders, and standards of director independence and fiduciary duty do not protect investors’ interests to the same degree. [read post]
25 Apr 2012, 2:24 pm
Reading the mandatory disclosure chapter of Easterbrook and Fischel's The Economic Structure of Corporate Law, I was struck by this passage: The securities laws may be designed to protect special interests at the expense of investors. [read post]
25 Apr 2012, 10:25 am
The Securities and Exchange Commission’s (“SEC”) mission is “to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. [read post]
25 Apr 2012, 8:29 am
Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Consumer Financial Protection Bureau can eliminate forced arbitration in consumer financial services contracts, and the Securities and Exchange Commission can do the same in investor contracts with brokerdealers and investment advisers. [read post]
23 Apr 2012, 6:20 pm
The first is that we are not going to get a lot of stimulus bang for the buck we are paying in terms of changes to securities law protections. [read post]
20 Apr 2012, 9:28 pm
’s Quarterly Corporate Fraud Index, the Securities and Exchange Commission's new whistleblower bounty program may be indirectly leading to a resurgence in corporate internal reporting mechanisms. [read post]
20 Apr 2012, 3:34 am
It appears that the nature of regulation is being governed by economic compulsions rather than the long-standing goal of securities law, which is investor protection. [read post]
19 Apr 2012, 2:28 pm
As a protection, prior to the sale each investor will be quoted a final price and provided with all required disclosures and will have an opportunity to rescind any purchase commitment. [read post]
19 Apr 2012, 12:29 pm
The White Law Group is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
19 Apr 2012, 5:00 am
The primary materials for this case may be found on the DU Corporate Governance website. [read post]
13 Apr 2012, 11:49 am
The new Committee (discussed here), which replaced a prior Investor Advisory Committee, was formed to "advise the Commission on regulatory priorities, the regulation of securities products, trading strategies, fee structures, the effectiveness of disclosure, and on initiatives to protect investor interests and to promote investor confidence and the integrity of the securities marketplace. [read post]
13 Apr 2012, 2:00 am
Today we continue our weekly installment highlighting the best of the corporate and securities blogosphere from this past week. [read post]
11 Apr 2012, 4:15 pm
The SEC received 72 comment letters from institutional investors, companies, corporate lawyers, and foreign governments. [read post]
10 Apr 2012, 6:34 am
According to a SEC press release, the committee is “to advise the Commission on regulatory priorities, the regulation of securities products, trading strategies, fee structures, the effectiveness of disclosure, and on initiatives to protect investor interests and to promote investor confidence and the integrity of the securities marketplace. [read post]
10 Apr 2012, 5:01 am
Section 911 of the Law provides that the Committee shall: advise and consult with the Commission on—(i) regulatory priorities of the Commission; (ii) issues relating to the regulation of securities products, trading strategies, and fee structures, and the effectiveness of disclosure; (iii) initiatives to protect investor interest; and (iv) initiatives to promote investor confidence and the integrity of the securities marketplace; and (B)… [read post]
10 Apr 2012, 1:13 am
Ought there to be standards protecting the prospective litigants? [read post]
10 Apr 2012, 1:13 am
Ought there to be standards protecting the prospective litigants? [read post]
8 Apr 2012, 11:25 am
Commercial Union Insurance Corporation. [read post]
