Search for: "Securities Investor Protection Corporation"
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1 Jun 2011, 5:48 am
“Treaty shopping” involves the enterprise locating an affiliate in a jurisdiction that has signed an investment protection treaty with the host country, allowing various affiliates and/or the parent in a group enterprise to benefit from treaty protection even though they possess the nationality of a state that has no such agreement with the host. [read post]
30 May 2011, 1:30 pm
Related Web Resources: Leahy, Grassley Roll Out New Anti-Fraud Legislation, May 5, 2011 S. 890: Fighting Fraud to Protect Taxpayers Act of 2011 More Blog Posts: SEC to Propose Rule Banning “Felons and Bad Actors” From Involvement in Private Offerings, Institutional Investors Securities Blog, May 29, 2011 FINRA Chief Ketchum Says Securities Regulators Worried Whether Investors Betting on High-Yield Corporate Bonds Really Know What… [read post]
30 May 2011, 1:17 pm
Director Cross explained that the notion behind the accredited investor, and if you have $1 million net worth you fit in the definition, is that sometime in the early 1980s it was decided that these investors can fend for themselves and do not need the protection of the securities laws, thus allowing them to participate in unregistered private offerings. [read post]
27 May 2011, 6:48 am
” Thus, FINSA reinforces that, notwithstanding the need to protect national security, promoting foreign investment in the United States remains the policy of the U.S. [read post]
25 May 2011, 1:31 pm
At an open meeting on Wednesday morning, the SEC adopted final rules to implement Section 922 of the Dodd-Frank Act regarding securities whistleblower incentives and protection. [read post]
25 May 2011, 11:17 am
Securities and Exchange Commission (SEC) issued its final rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
25 May 2011, 9:59 am
According to Chairman Schapiro, this could create an opportunity for a whistleblower to obtain an award through internal reporting where the whistleblower might not otherwise have qualified for an award because the information was not sufficiently specific and credible.In other areas, the regulations clarify that whistleblower protections apply to anyone who provides information even if that information relates to a possible securities law violation, and regardless of whether it… [read post]
23 May 2011, 4:00 am
"This report charts a different course to update and revitalize an industry so important to our security," said Leo W. [read post]
19 May 2011, 8:42 am
“We’re going sector by sector, tier by tier, and our goal is to develop a long-term policy to protect that base as we slow defense spending,” Lynn said. [read post]
17 May 2011, 5:42 am
Stop Foreclosure and Secure a Sustainable Mortgage for Your Client You must attack the secured status of the Trustee of residential mortgage backed securitized trusts and what servicers have done with the Debtor’s money. [read post]
16 May 2011, 2:25 pm
Provide information for investors 12. [read post]
16 May 2011, 1:51 am
As discussed in an April 19, 2011 Westlaw Business article entitled “Corporate Governance: Assertive Activist Investors” (here), the 2011 proxy season is the “culmination of a major drive to install majority voting standards,” and shareholders at a number of companies have voted in favor of shareholder proposals calling for majority voting standards. [read post]
13 May 2011, 1:18 pm
Are we that interested in protecting these speculating investors during an extended pre-IPO period? [read post]
13 May 2011, 9:49 am
The Senators believe that SEC guidance in this area, using the Commission’s longstanding legal authority, will enhance investor protection and increase corporate awareness of information security risk.The Senators are also concerned that senior officers of public companies may not fully understand their affirmative duty to disclose information on potentially compromised intellectual property or trade secrets upon the occurrence of a material network breach. [read post]
12 May 2011, 4:09 pm
The Securities Investor Protection Corporation will hold a forum next month to discuss modernizing the three-decade-old agency. [read post]
12 May 2011, 9:14 am
Victims of stockbroker negligence can include anyone: Individual investors, retirees, small businesses, corporations, pension funds, and institutional investors. [read post]
12 May 2011, 8:00 am
Since outside investors were involved, the bank had to negotiate with them. [read post]
11 May 2011, 6:51 am
The Madoff liquidation case is Securities Investor Protection Corp. v. [read post]
10 May 2011, 10:11 pm
In her letter, Schapiro stated that “the SEC has moved aggressively to protect investors from the risks that may be posed by certain foreign-based companies listed on U.S. exchanges. [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]
