Search for: "Securities Investor Protection Corporation"
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29 Jan 2012, 12:44 pm
Fudge, the legislation balances business needs while protecting investors from abuses.In earlier testimony supporting HR 2779, ISDA noted that the legislation addresses an issue of significant concern to major swaps market participants. [read post]
27 Jan 2012, 12:18 pm
Justice Department, the Securities and Exchange Commission and at least seven state attorney-generals (and counting). [read post]
25 Jan 2012, 6:23 am
Generally, missing securities are protected by the Securities Investor Protection Corporation Insurance found on many brokerage accounts. [read post]
24 Jan 2012, 3:32 pm
Securities and Exchange Commission in December sued the congressionally created non-profit Securities Investor Protection Corporation over the group’s refusal to set up a claims process to help alleged Stanford Group Company victims recover funds. [read post]
24 Jan 2012, 12:55 pm
Whether the issue is environmental impact, consumer protection, financial reform or shareholder rights, it is important for investors to understand how company dollars are spent to influence our laws and regulations by lobbying activities. [read post]
23 Jan 2012, 1:23 pm
Chamber of Commerce President and CEO Thomas Donohue issued a statement indicating, "The President's decision sends a strong message to the business community and to investors: keep [read post]
22 Jan 2012, 2:42 pm
Did it instruct the agency's Fraud Detection and National Security Directorate that no site visits could be conducted without prior notice to the parties' attorneys of record? [read post]
21 Jan 2012, 2:24 am
Under the dominion of the separate legal entity doctrine, this is problematic, for the individual corporation has only limited “assets”. [read post]
20 Jan 2012, 11:45 am
And information that the analysts obtain normally may be the basis for judgments as to the market worth of a corporation's securities. [read post]
19 Jan 2012, 3:49 pm
However, the procedural protections against the most vexatious lawsuits against corporations would not operate in the world of arbitration. [read post]
17 Jan 2012, 6:58 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]
16 Jan 2012, 12:54 pm
Note that one can be a progressive who believes that an important purpose of government is to ensure that the economy perks along and protects workers in the process of allowing innovation and entrepreneurialship. [read post]
13 Jan 2012, 12:25 pm
The qualified persons amendments, once in force, would introduce general provisions governing the initial and ongoing business conduct of “qualified persons”, including requirements that a qualified person have an effective corporate and organizational structure with adequate personnel, financial and technological resources and appropriate business policies and procedures and governance practices; that it take the necessary measures to ensure the security and… [read post]
13 Jan 2012, 12:00 am
The Commodities Future Trading Commission (CFTC) adopted a rule to protect the money of investors in swaps. [read post]
12 Jan 2012, 10:55 am
Willan's Evergreen companies filed for bankruptcy protection. [read post]
12 Jan 2012, 2:00 am
In particular, the staff is requesting enhanced disclosures, on a country-by-country basis, of the following information: gross sovereign, financial institutions and non-financial corporations’ exposure; quantified disclosure explaining how gross exposures are hedged; and a discussion of the circumstances under which losses may not be covered by purchased credit protection. [read post]
9 Jan 2012, 9:21 pm
In an effort to protect smaller investors whose only significant asset is their home, the Securities and Exchange Commission ("SEC") recently took steps to limit Regulation D of the Securities Exchange Act of 1933 to exclude an investor's primary residence from the $1 million net worth calculation. [read post]
9 Jan 2012, 10:00 am
For any questions or more information on these or any related matters, please contact any attorney in the firm's corporate practice group. [read post]
9 Jan 2012, 10:00 am
For any questions or more information on these or any related matters, please contact any attorney in the firm's corporate practice group. [read post]
9 Jan 2012, 8:15 am
Look for this trend to continue in 2012, with offerings providing Canadian yield-seeking investors with exposure to other foreign-based asset classes, such as real estate. [read post]
