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9 Oct 2011, 2:06 pm
If allowed to stand, NASAA contended, the Court of Appeals’ decision will weaken investor protection by threatening the enforcement powers of the Oregon Division of Finance and Corporate Securities (Securities Division).NASAA noted that the petitioner in the case, the State of Oregon, had brought a private cause of action on behalf of the Oregon Public Employee Retirement Fund for a violation of Section 59.135 of the Oregon Securities Law. [read post]
9 Oct 2011, 10:07 am
Speaking bluntly, the former SEC official said that the trick would be for FASB to use its endorsement power to protect U.S. interests when consulting with and advising the IASB, but when a standard is finalized by the IASB to endorse it except in the most rare and unusual circumstances.The SEC would retain its ultimate authority under the securities laws to protect investors and prescribe accounting standards. [read post]
5 Oct 2011, 4:00 pm
The individual investors claimed that the notes were negotiable instruments, and as such the investors were holders in due course, protected by the Commercial code, and should not be liable. [read post]
5 Oct 2011, 4:00 pm
The notes could have been 'endorsed' or 'indorsed', signed by JWA and physically transferred to investors, which could have protected them. [read post]
5 Oct 2011, 3:11 pm
Sarbanes-Oxley Act (SOX) On May 8, 2006, Menendez filed a complaint with the Department of Labor under Section 806 of the Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of SOX, accusing the company of using improper accounting practices to distort its financial statements and mislead investors. [read post]
4 Oct 2011, 3:28 pm
Hence, they hold the gate between the corporation and the promised land of investor capital. [read post]
4 Oct 2011, 8:22 am
andquot; (andquot;The mortgage giantandrsquo;s house isnandrsquo;t well protected against a stormier credit market. [read post]
4 Oct 2011, 5:09 am
The central goal of the Securities and Exchange Commission is to facilitate companies’ access to capital while at the same time protecting investors. [read post]
3 Oct 2011, 7:07 pm
Citi Asia is licensed under the Securities and Futures Ordinance (SFO ) to carry on Type 1 (dealing in securities), Type 4 (advising on securities), Type 6 (advising on corporate finance) and Type 7 (providing automated trading services) regulated activities. 2. [read post]
3 Oct 2011, 4:41 pm
And I might also agree that the government subordinating its position to another investor might be in the government’s best interest as a creditor -- but almost in the exclusive scenario in which the investor to whom the government subordinated itself were a DIP lender, not an existing investor simply wanting to gain a senior secured position. [read post]
3 Oct 2011, 4:15 pm
The securities class action filed in the United States Southern District of Florida alleges claims for violation of the Florida Securities and Investor Protection Act. [read post]
3 Oct 2011, 11:00 am
The district court adopted a broad interpretation of § 523(a)(19), treating as paramount the Sarbanes-Oxley Act's goal of "protect[ing] investors by improving accuracy and reliability of corporate disclosures made pursuant to the securities laws. [read post]
2 Oct 2011, 7:23 am
Morgan Securities structured and marketed). [read post]
29 Sep 2011, 10:23 am
” Kathleen Cronin, managing director, general counsel, and corporate secretary for CME Group, observed that while many industry participants focus on the CFTC and SEC rulemaking process, there is a larger perspective to be observed. [read post]
29 Sep 2011, 1:35 am
In prior posts I described the first portion of this article, which will use legislative and judicial history to elaborate on the SEC’s mandate to consider the impact of new rules on what I am calling the “four pillars” or “four principles” of securities regulation: investor protection, efficiency, competition, and capital formation. [read post]
29 Sep 2011, 12:15 am
It also brags about the 10 CDOs with assets of about $6 billion that it launched since 2000 (page 26), including a synthetic municipal bond CDO and four synthetic corporate CDOs, and its "long term commitment to the CDO business" and assurance that it operates "in the best interests of investors in our CDOs" to "deliver[] CDO products of the best possible quality to investors" with "a large number of experienced investment… [read post]
28 Sep 2011, 3:11 pm
Sarbanes-Oxley Act (SOX) On May 8, 2006, Menendez filed a complaint with the Department of Labor under Section 806 of the Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of SOX, accusing the company of using improper accounting practices to distort its financial statements and mislead investors. [read post]
27 Sep 2011, 8:02 am
CAS is an important evolutionary step in enhancing both corporate and individual accountability in the online environment. [read post]
25 Sep 2011, 4:48 pm
Public accounting firms are supposed to be gatekeepers and protect the integrity of financial reporting. [read post]
24 Sep 2011, 6:13 am
Siracusano (2011), that any omissions must “significantly” alter the total mix of investor information; (ii) discarding long-standing judicial and regulatory authority regarding the importance of quantitative analysis in making materiality determinations, including a rule of thumb that omissions affecting amounts less than 5% are likely immaterial; and (iii) impermissibly requiring issuers to flood investors with unnecessary and confusing detail.Certiorari stage… [read post]
