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25 Jan 2011, 8:30 am
The law is clear that the exercise of such powers should only be protective and preventative and firmly rooted in the objectives of securities regulation (investor protection and market efficiency). [read post]
21 Jan 2011, 2:45 pm
With respect to 1933 Act disclosures, see my post on the Bulldog Investors case. [read post]
20 Jan 2011, 12:31 pm
The Commission made predictive judgments about Rule 14a-11’s economic consequences based on the available evidence and its expertise, and concluded that, on balance, it was in the interests of shareholders and for the protection of investors to adopt the rule. [read post]
20 Jan 2011, 11:00 am
In late Q3, US corporate cash levels reached $1.9 trillion, which, as a percentage of total corporate assets, is the highest since 1959. [read post]
20 Jan 2011, 10:00 am
… The investors who supposedly are being protected by the SEC’s rules here are not unsophisticated small investors. [read post]
19 Jan 2011, 11:22 am
The consequences of this corporate code of silence for investors in publicly traded companies, in particular, and for the stock market, in general, are serious and adverse, and they must be remedied. [read post]
18 Jan 2011, 2:22 pm
The MFDA’s mandate is “to enhance investor protection and strengthen public confidence in the Canadian mutual fund industry. [read post]
18 Jan 2011, 2:22 pm
The MFDA’s mandate is “to enhance investor protection and strengthen public confidence in the Canadian mutual fund industry. [read post]
18 Jan 2011, 5:10 am
The basis for the investor-state claim is that the investor received unfair treatment and lack of protection and security. [read post]
15 Jan 2011, 5:00 am
Frederick defended this view by explaining that through the funds prospectus, “it is absolutely clear that what Janus Capital Management is telling all of the mutual fund investors of the world: If you invest in Janus, we will protect your long-term investments. [read post]
12 Jan 2011, 3:22 pm
283, courts may grant an injunction in a patent case “to prevent the violation of any right secured by patent, on such terms as the court deems reasonable. [read post]
11 Jan 2011, 8:36 am
Investors are jittery about the municipal-bond market, providing ample volatility for swaps users to trade around. [read post]
5 Jan 2011, 11:26 am
Accordingly, this rule will apply to general partners of private funds who have government pension plans as investors. [read post]
5 Jan 2011, 6:59 am
The requirement is designed to protect investors from risking money on companies that say little about their operations and performance. [read post]
5 Jan 2011, 1:17 am
The Changing Mix of Corporate and Securities Lawsuits: As insurance information firm Advisen has well documented, the mix of corporate and securities lawsuits has been evolving over the past several years. [read post]
3 Jan 2011, 5:45 am
Regulatory constraints that protect market integrity impose burdens on issuers and sellers of securities. [read post]
31 Dec 2010, 11:50 am
The Court found that the actions by the hostile bidder posed a threat to the corporate enterprise and their protection was an important corporate objective, and that the board properly conducted an investigation to support that finding. [read post]
29 Dec 2010, 6:45 am
The Neo decision was recently considered by the Ontario Securities Commission in the Baffinland Iron Mines Corporation decision. [read post]
28 Dec 2010, 3:21 am
Filed under: constitutional law, corporate governance, First amendment, securities regulation [read post]
27 Dec 2010, 10:18 am
As noted, the reverse takeover is a means of end running the disclosure and procedural protections provided investors in a traditional IPO. [read post]
