Search for: "Securities Investor Protection Corporation"
Results 3201 - 3220
of 4,476
Sorted by Relevance
|
Sort by Date
5 Jan 2019, 10:40 am
Below is an overview of how the partial federal government shutdown is affecting financial or other major regulatory agencies: Securities and Exchange Commission (“SEC”) The SEC is operating on a limited staff who are available to respond to emergency situations involving market integrity and investor protection, including law enforcement. [read post]
14 Dec 2011, 4:47 pm
Grimm, these internal compliance programs are important as they protect shareholders and investors and save time and money by stopping a problem before it causes excessive damage. [read post]
3 Oct 2018, 6:00 am
Although the AER is mindful that a balance must be struck between protecting the public interest and allowing companies operational freedom, investors can expect additional layers of due diligence will be needed going forward. [read post]
25 Aug 2023, 11:47 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
15 Apr 2009, 6:49 am
Foreign holdings of U.S. government and corporate debt skyrocketed. [read post]
10 Oct 2011, 9:20 pm
In 2010, the Dodd-Frank Act established the SEC Investor Protection fund, which is to be used to pay whistleblower claims and is funded with monetary sanctions that the SEC collects in a judicial or administrative action, or through certain disgorgements under the Sarbanes-Oxley Act of 2002. [read post]
18 Sep 2015, 2:57 am
Rather, the SEC is seeking input on whether the proposal is consistent with the Exchange Act requirement that the rules of the securities exchanges be designed to, among other things, prevent fraud and manipulation, promote just and equitable principles of trade and protect investors and the public interest. [read post]
12 Aug 2008, 4:55 pm
§13(d) of the Securities Exchange Act applies whenever an investor acquires "beneficial ownership" of more than 5% of a company's stock, and requires such investors to file a disclosure statement revealing their position and any plans they may have with respect to the company. [read post]
1 Nov 2011, 4:51 pm
Authorities alleged that Lewis operated LexxCo Corporation ("LexxCo") out of the East Mall in Toronto. [read post]
16 Oct 2012, 11:32 am
The three main considerations are: Protecting your idea and your brand; Choosing a legal structure; Filing proper taxes. [read post]
15 Sep 2008, 5:48 pm
After spending over six years as an attorney at the Securities and Exchange Commission in the late '90s and a little beyond, I can tell you that no matter what kind of leash, and no matter how slack that leash was that regulators tried to put on the banking and investment world, lobbyists and corporations won out more often than not. [read post]
16 Mar 2023, 6:53 am
Investors and lenders want to see accurate and reliable financial statements before investing or lending.Therefore, a financial audit can help you establish trust and credibility with investors and lenders and provide a competitive advantage in securing funding. [read post]
28 Apr 2010, 2:36 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
26 Mar 2021, 8:27 am
The work is reproduced and distributed with the permission of The MITRE Corporation.). [read post]
12 Sep 2016, 7:18 pm
Not surprisingly in light of the magnitude of several recent corporate scandals, several groups of aggrieved investors have initiated action under the Dutch collective settlement act to recover investment losses. [read post]
15 Jul 2020, 7:20 am
Intellectual Property They advise on commercial IP matters, including IP protection and filing strategies, IP licensing, technology transfers and R&D collaborations, technology capitalization, information governance, data protection, cyber security, unfair competition and anti-monopoly, government innovation support, regulatory and licensing issues in life science, TMT and other high tech sectors. [read post]
18 Aug 2011, 9:48 am
A landmark regulation, FINRA 10-06 was promulgated last year to protect investors from false or misleading claims made on social networking sites. [read post]
15 Sep 2015, 10:01 pm
Securities and Exchange Commission (SEC) and accuses Tyson Foods of overstating in corporate and investor materials the priority it puts on animal welfare. [read post]
4 Jun 2008, 1:49 pm
This is done for legitimate tax efficiency planning purposes as well as to sell specific interests to groups of investors or secure specific assets to interested creditors. [read post]
13 Feb 2014, 1:12 pm
Telstra Corporation; The Board must not acquire a direct equity holding of voting shares in Telstra Corporation Limited except as a result of a transfer of financial assets by the responsible Ministers under clause 6 of Schedule 1 of the Act or a gift of financial assets under clause 7 of Schedule 1 of the Act. 8. [read post]
