Search for: "Securities Investor Protection Corporation"
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1 Sep 2011, 8:21 am
That's right, investors are so spooked they are buying U.S. bonds that pay lower interest than the rate of inflation. [read post]
31 Aug 2011, 7:19 pm
IN a country where corporate will has destroyed wetlands, denuded forests, and bulldozed mountaintops into creeks, Huntsman wants to let the corporate giants operate with no agency to protect the environment. [read post]
31 Aug 2011, 10:27 am
Finally, it also shows that tribunals may pierce the corporate veil of foreign investors in the context of counterclaims.Managing Disputes Through Contract: Evidence from M&A John C. [read post]
31 Aug 2011, 9:55 am
In the seminal study of the 1940 Act, Protecting Investors: A Half-Century of Investment Company Regulation, the SEC staff noted that many issuers of mortgage-backed securities and similar products have relied on Section 3(c)(5)(C), noting that an issuer seeking to rely on this exception must invest at least 55 percent of its assets in mortgages and other liens on and interests in real estate. [read post]
30 Aug 2011, 5:00 am
An access rule could be adopted "under such terms and conditions as the Commission determines are in the interests of shareholders and for the protection of investors. [read post]
29 Aug 2011, 10:50 am
A provision in the base text of the Dodd-Frank Wall Street Reform and Consumer Protection Act, as approved by the Senate, would have required the SEC to direct national securities exchanges and associations to prohibit the listing of any security of an issuer who has on its board any members that did not receive a majority vote in uncontested board elections While this provision was ultimately dropped from Dodd-Frank during the Conference Committee negotiations, the… [read post]
26 Aug 2011, 2:00 am
Today we continue our weekly installment highlighting the best of the corporate and securities blogosphere for the past week. [read post]
25 Aug 2011, 6:31 am
Securities and Exchange Commission (“SEC”) and the United States District Court. [read post]
24 Aug 2011, 2:47 am
This tax also applies to: (i) those who occupy space in buildings they themselves own, individually or jointly with another person other than a spouse; (ii) those who occupy space in buildings owned by corporations where they are an officer or holder of all or part of the corporation stock; (iii) a corporation, occupying space in a building that is owned by a subsidiary corporation or by a parent corporation; and (iv) a corporation,… [read post]
24 Aug 2011, 2:00 am
If, as in the Madoff case, the fund of customer property is insufficient to satisfy every customer’s “net equity” claim, customers may receive an advance of up to $500,000 for their securities claims, funded by the Securities Investor Protection Corporation (“SIPC”), a nonprofit corporation funded by registered broker-dealers and members of national securities exchanges‘ [4] plus a pro rata… [read post]
23 Aug 2011, 3:13 pm
’s chancellor.With all due respect, Professor Stout, you are the Paul Hastings Distinguished Professor of Corporate and Securities Law. [read post]
23 Aug 2011, 8:55 am
The Volcker rule is contained in Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). [read post]
23 Aug 2011, 4:51 am
The Article concludes with a proposal that the courts, the Securities and Exchange Commission, or Congress enact a safe harbor to legalize fraud-inhibiting insider trading and thus enable the insider trading laws to more effectively achieve their purported goal of protecting the securities market and investors. [read post]
23 Aug 2011, 2:00 am
Advance Notice of Corporate Actions. [read post]
22 Aug 2011, 10:08 pm
Only one active member of the faculty is complaining: “The creation of a Lowell Milken Institute for Business Law and Policy will damage my personal and professional reputation, as I have devoted my career to arguing for investor protection and honest and ethical behavior in business,” Lynn A. [read post]
20 Aug 2011, 4:00 am
The positions were "unclassified" and not protected under the Tennessee Civil Service Merit System. [read post]
19 Aug 2011, 10:30 am
And yes, there is a way we can prevent these cuts and protect these services. [read post]
19 Aug 2011, 6:30 am
Securities and Exchange Commission. [read post]
18 Aug 2011, 7:46 pm
Given the downside protection conferred to foreign investors holding put options in securities of Indian companies, the RBI seems to be raising two concerns, as this report in the Mint suggests: (i) the options are derivative contracts, which only foreign institutional investors registered with SEBI and non-resident Indians are allowed to invest in, that too when they are traded on a stock exchange; and (ii) the availability of the put option confers advantages to… [read post]
18 Aug 2011, 9:48 am
A landmark regulation, FINRA 10-06 was promulgated last year to protect investors from false or misleading claims made on social networking sites. [read post]
