Search for: "Securities Investor Protection Corporation"
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16 Jul 2018, 5:53 pm
But Fannie and Freddie are also private corporations with private stockholders, and many investors are disenchanted with the Federal Government's management. [read post]
13 Nov 2009, 6:11 am
Such a rule provides seemingly sensible, indeed necessary, protection in a system which relies on attracting private citizens to serve as corporate directors and oversee the management of the multiplicity of business corporations which fuel our economy. [read post]
27 Jun 2007, 12:16 pm
Frank, it is "attempted extortion" to hold corporate financial advisors responsible for their role in corporate defrauding of investors. [read post]
27 Jun 2007, 12:16 pm
Frank, it is "attempted extortion" to hold corporate financial advisors responsible for their role in corporate defrauding of investors. [read post]
12 Apr 2019, 5:09 am
Daugherty observed that California’s law, if challenged, could rise or fall on Equal Protection grounds.California’s law. [read post]
22 Nov 2008, 4:28 pm
This provides a common pool of knowledge for all investors to use to judge for themselves whether to buy, sell, or hold a particular security. [read post]
29 Dec 2019, 4:38 am
The real issue with China’s treatment of foreign investors is that China continues to protect its domestic economy against foreigners. [read post]
23 Jun 2011, 2:00 am
The bill would also exclude accredited investors and securities held by persons who received such securities pursuant to employee compensation plans from counting against the 1,000-record holder threshold. [read post]
15 Sep 2022, 2:13 am
Before the 2021 amendment, such use was allowed only for reasons of public defense and security. [read post]
2 Sep 2014, 4:27 am
SEC Commissioner Aguilar Addresses Cybersecurity Oversight Responsibilities of Corporate Boards: At least one SEC commissioner has made it clear that as far as the SEC is concerned cybersecurity is an important issue on which corporate boards should be engaged. [read post]
15 Apr 2020, 3:16 pm
With global stock markets now in bear market territory, investors will be asking whether steps could have been taken to avoid substantial losses in value. [read post]
3 Jun 2015, 9:30 pm
First, in addition to the risks inherent in leveraged lending, many loan contracts lacked standard legal protections designed to protect creditors during borrower defaults. [read post]
27 May 2009, 8:07 pm
Securities and Exchange CommissionShares will continue to trade on the New York Stock Exchange.Subject to same SEC reporting requirements as NYSE companiesHow did investors react to this? [read post]
16 Jul 2012, 5:08 pm
Level Global Investors, L.P., SD NY, No. 12 Civ. 1598, June 13, 2012.As publicly reported, these steps were part of a broad criminal investigation into alleged insider trading within the securities industry. [read post]
13 Aug 2010, 5:15 am
Some comments have already trickled in, including this note from an experienced investor who has a truly novel idea in these times of many recycled ideas: require CEOs to swear to protect and defend the interests of the company along with an annual certification as to their fairness, honesty and integrity. [read post]
19 Sep 2024, 1:24 pm
For more information and to explore how these tools can benefit your business, please contact KJK’s Corporate & Securities attorneys Samantha Cira at SMC@kjk.com, Alex Jones at AEJ@kjk.com, or Ted Theofrastous at TCT@kjk.com. [read post]
30 Mar 2023, 6:52 am
The rule is designed to promote investor protection and enhance the integrity of the securities market by requiring broker-dealers to act in the best interest of their customers when making recommendations. [read post]
2 May 2024, 12:35 pm
RBC failed to establish, maintain, and enforce a supervisory system, including written procedures, reasonably designed to achieve compliance with FINRA and Municipal Securities Rulemaking Board rules with respect to representatives’ recommendations of high-yield corporate and municipal bonds. [read post]
1 Mar 2014, 8:31 am
Indeed, it is mandated to co-invest with an internal investor (Sovereign Wealth Fund Institute, Russian Direct Investment Fund). [read post]
27 Feb 2023, 7:34 am
This Matters to Your Business Last month, the Securities and Exchange Commission filed a lawsuit to enforce a subpoena the SEC had issued to a law firm, Covington & Burling. [read post]
