Search for: "Securities Investor Protection Corporation"
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2 Dec 2011, 11:25 am
Anti-Dilution Protection: One of the biggest concerns of any investor in a company is that it will be diluted if the company subsequently issues more shares at a lower price. [read post]
2 Dec 2011, 10:32 am
According to SIPC, commodity futures contracts are ineligible for protection, unless in portfolio margining accounts and defined as customer property under the Security Investor Protection Act. [read post]
2 Dec 2011, 9:33 am
Senator Shelby also requested that the IG examine whether CFTC Chairman Gary Gensler’s recusal from matters now and in the past are consistent with the agency’s official recusal policy.In the letter, Senator Shelby noted that MF Global is currently subject to a liquidation proceeding initiated by the Securities Investor Protection Corporation (SIPC). [read post]
1 Dec 2011, 11:57 am
While US securities laws have helped to preserve US capital markets as the largest and deepest in the world, he said, they need to strike the right balance between protecting investors and ensuring that companies can raise funds. [read post]
1 Dec 2011, 9:16 am
Rather than subsidizing big investors and rewarding corporate executives for destroying jobs, the federal government should be creating jobs and protecting homeowners from predatory foreclosures. [read post]
30 Nov 2011, 2:15 pm
Look, I spent twenty years working as a consultant for large corporations at the C-Suite and senior management levels, including several of the TBTF banks, and I’m very familiar with their corporate cultures and operations. [read post]
30 Nov 2011, 11:17 am
Due to growing hacking and security issues at computer networks. [read post]
29 Nov 2011, 9:42 pm
My only policy preference is preserving the efficiency of America’s capital markets and protecting our investors. [read post]
29 Nov 2011, 5:36 am
Due to growing hacking and security issues at computer networks. [read post]
28 Nov 2011, 8:57 pm
It is in this way that FCMs have been able, with comparatively few exceptions, to ensure that customer deposits are completely protected from all losses an FCM may incur due to its own proprietary trading. [read post]
24 Nov 2011, 1:02 pm
Nearly six months after the Securities and Exchange Commission ("SEC") issued a formal request to the Securities Investor Protection Corporation ("SIPC") for coverage of losses suffered by victims of R. [read post]
23 Nov 2011, 9:16 pm
Finra Fines Wells Investment Securities For Alleged Misleading Marketing Materials, The Wall Street Journal, November 22, 2011 Public Non-Traded REITs—Perform a Careful Review Before Investing, FINRA More Blog Posts: Chase Investment Services Corporation Ordered by FINRA to Pay Back $1.9M for Unsuitable Sales of Floating-Rate Loan Funds and UITs, Institutional Investor Securities Blog, November 19, 2011 Morgan Stanley Faces $1M FINRA Fine for Excessive… [read post]
23 Nov 2011, 1:24 pm
A unit investment trust consists of a basket of securities such as corporate bonds, municipal bonds, mortgage-backed securities, or equities. [read post]
23 Nov 2011, 7:43 am
Separate proceedings for recovery pursuant to the Securities Investor Protection Corporation (SIPC) are anticipated. [read post]
23 Nov 2011, 7:28 am
Is it a secured loan? [read post]
22 Nov 2011, 9:00 pm
Separate proceedings for recovery pursuant to the Securities Investor Protection Corporation (SIPC) are anticipated. [read post]
22 Nov 2011, 11:39 am
The Board was not created to merely alert the public to problems, emphasized the Senator, rather the Board was set up as a watchdog to protect investors, to inspect and assess compliance with applicable securities laws to protect the interests of investors, and to further the public interest in the preparation of accurate audit reports.To ensure corporate financial statements are subject to tough, outside scrutiny, said the Senator, Congress… [read post]
22 Nov 2011, 7:06 am
Mahoney, Dean of the University of Virginia Law School, spoke on the shift in regulatory philosophy from disclosure-based standards to restricting and shaping contracts between firms and consumers.While the drafters of the first federal securities laws explicitly rejected the merit review approach in favor of more disclosure-based systems, enabling fully-informed investors to decide what is best for them, Mahoney explained, this strategy has eroded over time in favor of policing… [read post]
20 Nov 2011, 5:20 am
‘For investors, I think they just got a little bit of a jolt that maybe Google’s profits are due to things they can’t ultimately stand behind. [read post]
20 Nov 2011, 5:20 am
‘For investors, I think they just got a little bit of a jolt that maybe Google’s profits are due to things they can’t ultimately stand behind.’” [read post]
