Search for: "Securities Investor Protection Corporation"
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28 May 2010, 11:20 am
Moreover, the interests of investors in having access to accurate financial statements requires that the tax work papers be protected. [read post]
22 Apr 2018, 7:55 pm
The Government also announced new penalties of up to 10 years’ imprisonment and heftier fines (up to the larger of $945,000 and 3 times the benefits for individuals, and the larger of $9.45 million and 3 times the benefit or 10% of annual turnover for corporations) for breaches of the Corporations Act in order to “effectively deter, prosecute, and punish those who do the wrong thing, to improve community confidence and outcomes for consumers and investors in… [read post]
3 Feb 2011, 3:21 pm
While acknowledging the different views in Congress concerning the implementation of Dodd-Frank, the former officials said that protecting investor from fraud, restoring market integrity, and encouraging capital formation are priorities that are too important to sacrifice. [read post]
13 Aug 2010, 3:56 pm
That is why setting limits on involvement in hedge funds and private equity funds is critical to protecting against risks arising from asset management services. [read post]
16 Jun 2021, 1:17 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
27 Dec 2023, 1:16 pm
In July 2023, the Securities and Exchange Commission (“SEC”) proposed rules “that would require broker-dealers and investment advisers (“Firm”) to take certain measures to address conflicts of interest associated with their use of predicative data analytics and similar technologies to interact with investors to prevent firms form placing their interest ahead of investors’ interests. [read post]
26 Jun 2012, 3:35 pm
As a result, the members of an LLC may have more difficulty obtaining a loan or securing investors than their incorporated counterparts. [read post]
20 Dec 2022, 2:57 pm
Apple Protects Its Customers, Just Not At the Expense of Its Investors As ever, the devil is in those details. [read post]
17 May 2023, 6:41 am
Securities and Exchange Commission to resolve its dispute with law firm Covington & Burling over the agency’s demand for the names of 300 clients affected by a cyberattack on the firm. [read post]
17 Dec 2009, 8:02 am
In addition, the SEC adopted rule changes designed to substantially increase the protections for investors who turn their money and securities over to investment advisers. [read post]
6 Dec 2019, 8:50 am
Specifically, the amendment provides: "any nonpublic information, from whatever source, that has, or would reasonably be expected to have, a material effect on the market price of any [security]. [read post]
9 Dec 2008, 4:20 am
The complaint also names as defendants McGraw Hill Companies, the corporate parent of S&P, and Moody’s. [read post]
26 Feb 2010, 9:53 am
Senators Say SEC Action Falls Short of Solving Naked Short Selling ConcernSenators Ted Kaufman and Johnny Isakson said that the partial action taken by the SEC will neither provide investors with the same protections as the uptick rule nor address the enforcement issues surrounding the current naked short selling rule. [read post]
21 Jul 2014, 7:32 am
Today’s verdict is a warning and a reminder that our office will continue to pursue corporate corruption to protect our economy,” said First Assistant U.S. [read post]
21 Apr 2021, 9:02 am
Synthetic securitisations are more commonly associated with loans to corporate clients, as these are more likely to contain prohibitions on transfer than consumer loans. [read post]
31 Oct 2011, 9:26 am
The PCAOB will also continue to consult with the SEC, FINRA, and the Securities Investor Protection Corporation in order to consider the role of auditor regulation against the backdrop of direct regulation over brokers and dealers. [read post]
25 May 2011, 9:59 am
According to Chairman Schapiro, this could create an opportunity for a whistleblower to obtain an award through internal reporting where the whistleblower might not otherwise have qualified for an award because the information was not sufficiently specific and credible.In other areas, the regulations clarify that whistleblower protections apply to anyone who provides information even if that information relates to a possible securities law violation, and regardless of whether it… [read post]
19 Jul 2007, 7:49 pm
" Shepherd Smith and Edwards is a securities law firm which represents investors nationwide in claims against securities dealers and investment firms (but rules require us to use our names). [read post]
18 Sep 2019, 9:52 pm
PCI-DSS not only protects the card brands but it also ensures that consumers feel safe when using credit and debit cards. [read post]
22 Apr 2019, 4:53 pm
Further, the no-action letter demonstrates the type of digital asset that the Division of Corporation Finance would not consider an investment contact or, accordingly, a security. [read post]
