Search for: "Securities Investor Protection Corporation"
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29 Jun 2020, 3:26 am
Madoff Investment Securities (BLMIS). [read post]
23 Aug 2011, 2:00 am
Advance Notice of Corporate Actions. [read post]
1 Sep 2011, 1:36 pm
The investor class is a particularly vulnerable and discrete minority that merits special protection. [read post]
26 May 2015, 2:50 pm
” “Regulated” qualified investors are entities that are already regulated by FINMA, such as banks, securities dealers, fund managers, and insurance companies. [read post]
26 May 2015, 2:50 pm
” “Regulated” qualified investors are entities that are already regulated by FINMA, such as banks, securities dealers, fund managers, and insurance companies. [read post]
25 Sep 2020, 8:55 pm
Besides, the Commission will propose to strengthen the investment protection and facilitation framework in the EU. [read post]
22 Jun 2011, 7:57 am
June 21, 2011 VOTE NO ON H.R. 1249 SPECIAL INTEREST PATENT BILL BENEFITS FOREIGN MULTINATIONAL CORPORATIONS OVER U.S. [read post]
1 Aug 2017, 7:55 am
Corporate filings do matter. [read post]
1 Aug 2017, 7:55 am
Corporate filings do matter. [read post]
14 Apr 2011, 5:20 pm
Proposals addressing issues not referenced in Dodd-Frank are one to revise filing deadlines for asset-backed securities offerings to provide investors with more time to consider transaction-specific information, including information about the pool assets. [read post]
22 May 2022, 9:05 pm
It would seem logical to apply the same principle in deal protection doctrine to pill trigger thresholds. [read post]
3 Apr 2024, 9:03 pm
SAB 121 arguably does not protect investors. [read post]
13 Sep 2010, 8:40 pm
Basically, it’s someone who the government believes has enough wealth and sophistication to be able to protect themselves when purchasing securities, such that they don’t need the government’s help in regulating the issuer of the securities. [read post]
28 Mar 2008, 7:25 am
Proposals also abound on long-standing concerns for socially focused investors, including those seeking to expand equal employment protections to employees regardless of sexual orientation. [read post]
10 Jun 2011, 4:48 am
Writing for investor mega-portal Seeking Alpha, Alfred Little explains how easy it is for Chinese companies to secure doctored paperwork that overstates their profits: Bank statements, confirmation letters and contracts of all types, government filings, ownership certificates and tax invoices are all paper documents easily forged by dishonest management with the help of a few dishonest bank and government officials…Dishonest management can keep turning paper into gold until… [read post]
16 Feb 2020, 9:38 am
Corporate and Securities Law Institute (Chicago). [read post]
2 Mar 2014, 8:21 am
Aside from the lack of FOIA protection or other assurance of confidentiality from Sen. [read post]
11 Apr 2022, 9:01 pm
For example, Section 160 of the Delaware General Corporation Law prohibits a corporation from purchasing its shares of capital stock when the purchase “would cause any impairment of the capital of the corporation”;4 its organizational documents, including its certificate of incorporation and bylaws; any agreements that may restrict or limit its ability to repurchase its securities. [read post]
25 Oct 2022, 2:02 am
This is done in order to protect the liquidity of the start-up. [read post]
2 Oct 2024, 2:47 pm
The SEC argues that Consensys is depriving investors of the protections afforded by federal securities laws by engaging in the unregistered offer and sale of securities. [read post]
