Search for: "Securities Investor Protection Corporation"
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19 Mar 2012, 3:06 am
Legal protection of software : patents and trade-marks Christopher C. [read post]
16 Mar 2012, 12:35 pm
All consumers of Delaware corporate law would do well to read it. [read post]
16 Mar 2012, 7:17 am
SEC Chair Schapiro Urges Senate to Include Additional Investor Protections in House-Passed JOBS Act in Jim Hamilton’s World of Securities Regulation In a letter to Senate Banking Committee Chair Tim Johnson (D-SD)and Ranking Member Richard Shelby (R-AL), Sec Chair Mary Schapiro said that the Jumpstart Our Business Startups (JOBS) Act, HR 3606, passed by the House would weaken investor protections by, for example, exempting emerging growth companies… [read post]
15 Mar 2012, 8:20 am
Since 2009, the Securities and Exchange Commission has filed 25 cases against mortgage originators and securities firms. [read post]
14 Mar 2012, 3:29 pm
Introduction FINRA Rule 6490 was approved by the Securities and Exchange Commission on July 1, 2010, with the stated purposes of adopting rules to prevent fraudulent and manipulative acts and practices, promote just and equitable principles of trade and protect investors and the public interest. [read post]
14 Mar 2012, 9:10 am
Garrett: This hearing is entitled “The Securities Investor Protection Corporation: the Past, the Present, and the Future”. [read post]
14 Mar 2012, 7:24 am
According to the Notice, “The know-your-customer and suitability obligations are critical to ensuring investor protection and promoting fair dealing with customers and ethical sales practices. [read post]
13 Mar 2012, 9:04 am
The Securities and Exchange Commission (SEC) and some Congressmen are seeking to expand the mission of the Securities Investors Protection Corporation (SIPC) to cover investors’ losses in the $7 billion Ponzi scheme operated by convicted felon R. [read post]
12 Mar 2012, 1:55 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 and Boca Raton, Florida. [read post]
12 Mar 2012, 5:00 am
As the court reasoned: “Plaintiffs have cited no decision extending liability under the federal securities laws to a corporation that had no involvement with the plaintiff harmed. [read post]
11 Mar 2012, 8:08 am
The Commission’s core mission is to protect investors. [read post]
9 Mar 2012, 2:23 pm
Allen Stanford in a $7 billion fraud scheme to be treated as brokerage customers by the Securities Investor Protection Corporation (SIPC). [read post]
9 Mar 2012, 11:59 am
It’s an idea that may be long overdue following the recent rash of Ponzi schemes and failed private placement deals: Revisiting the protections afforded to investors by the Securities Investor Protection Corporation (SIPC). [read post]
8 Mar 2012, 12:11 pm
Schapiro described how the budget request "would enable the SEC to hire new subject matter experts to help make the transition to new rule regimes as smooth as possible and to streamline existing processes for market participants, while still maintaining essential protections for investors. [read post]
8 Mar 2012, 10:20 am
H.R. 3606 also exempts emerging growth companies from two new corporate governance requirements that were established by the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
6 Mar 2012, 9:07 am
Securities laws must focus on investor protection. [read post]
5 Mar 2012, 6:40 pm
He did, however, say that he and Merkeley share the same desire for investor protection. [read post]
5 Mar 2012, 11:42 am
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 and Boca Raton, Florida. [read post]
5 Mar 2012, 11:42 am
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 and Boca Raton, Florida. [read post]
2 Mar 2012, 12:44 am
This regulation requires that public companies release the same information — at the same time — to the public as they do to investors and securities professionals. [read post]
