Search for: "Securities Investor Protection Corporation"
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21 Jun 2012, 2:01 pm
The SEC's Division of Corporation Finance associate director and chief counsel Thomas Kim has said that staff members are in the process of trying to determine how to practically implement the requirements so that investor protection isn’t compromised even as issuers are given some flexibility. [read post]
12 Jul 2023, 9:01 pm
SIPA also is known for setting up the Securities Investor Protection Corporation (SIPC) and establishing the SIPC Fund, which together help protect customers in the event a broker not only fails financially but also cannot repay its customers. [read post]
29 Oct 2020, 12:58 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
2 May 2022, 6:38 am
If there is one current topic that commands the attention of investors and other corporate stakeholders these days, it is ESG. [read post]
2 May 2013, 11:04 am
That question is important, not only to investors who want to ensure that boards of directors exercise objective judgment on corporate affairs, but also to companies, who need assurance that their boards will not run afoul of exchange listing requirements, and to directors themselves, for protection against shareholder lawsuits challenging board decisions. [read post]
12 Jul 2010, 2:18 am
Finally, a July 6, 2010 memo by the Katten Muchin law firm entitled "Dodd-Frank Wall Street Reform and Consumer Protection Act Corporate Governance and Disclosure Provisions" reviews the Bill’s various provisions relating to corporate governance and disclosure practices. [read post]
29 Aug 2017, 6:11 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
15 Nov 2011, 6:38 am
Such votes are also a way for a corporate board to determine whether investors view the company’s compensation practices to be in the best interests of shareowners. [read post]
17 Aug 2021, 11:48 am
ESG metrics are factors that evaluate whether a company is a good corporate citizen, including on issues such as energy efficiency, waste management, diversity and inclusion, and data protection. [read post]
1 Feb 2019, 10:51 am
Faculty in corporate and securities law are usually asked to select about six choices for best corporate and securities articles from a list of articles published and indexed in legal journals during 2018. [read post]
15 Aug 2021, 12:00 am
Attorney’s Office for the Southern District of New York unsealed a securities and wire fraud indictment against Trevor Milton, the founder and one-time chairman of Nikola Corporation (“Nikola”), a pre-revenue electric- and hydrogen-powered vehicle company which went public through a merger with a special-purpose acquisition company (“SPAC”). [1] The Indictment alleges that Milton made deceptive, false, and misleading claims regarding Nikola’s… [read post]
23 Feb 2023, 6:31 am
Our latest article, The Business of Securities Class Action Lawyering, is the largest academic study to date of the law firms that help shareholders recover money lost to corporate fraud. [read post]
23 Feb 2023, 6:31 am
Our latest article, The Business of Securities Class Action Lawyering, is the largest academic study to date of the law firms that help shareholders recover money lost to corporate fraud. [read post]
9 May 2011, 8:00 am
He explained that since it is the Commission’s responsibility to protect investors, it is important not to promote regulations that hinder capital raising since the more options investors and companies have, the more effective the market. [read post]
14 Jun 2016, 6:00 am
Pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the Securities and Exchange Commission (“SEC”) must review the definition of “accredited investor” every four years to determine whether it needs to be modified or adjusted. [read post]
12 Dec 2011, 5:45 pm
In a likely unprecedented move, the Securities and Exchange Commission ("SEC") filed a lawsuit against the Securities Investor Protection Corporation ("SIPC") as the culmination of a six-month effort to force SIPC to compensate victims of R. [read post]
17 Jan 2023, 10:29 am
On December 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to modernize Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and add new disclosure requirements to enhance investor protections against insider trading. [read post]
23 Jan 2024, 9:01 pm
Wells Fargo The second settlement against Wells Fargo resolves allegations that the bank hid from investors that it was unnecessarily charging customers for auto-collision protection insurance. [read post]
22 Dec 2008, 4:59 pm
Picard is a favorite of SIPC — the Securities Investor Protection Corporation — which is responsible for picking trustees to handle brokerage liquidations. [read post]
19 Apr 2010, 1:06 am
Sophisticated investors and institutions have the right to security in their property rights to privately negotiated agreements with other sophisticated investors and institutions. [read post]
