Search for: "Securities Investor Protection Corporation"
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22 Nov 2010, 7:23 am
Since Regulation FD was adopted, corporations have become more leery of sharing information with analysts — those folks whose efforts best protect investors by ensuring that stock prices accurately reflect underlying values. [read post]
19 Nov 2010, 1:13 pm
- TITLE IX--INVESTOR PROTECTIONS AND IMPROVEMENTS TO THE REGULATION OF SECURITIES, Subtitle G--Strengthening Corporate Search Term Begin Governance. [read post]
19 Nov 2010, 8:21 am
The board, therefore, can be justified as a mechanism to help protect them from themselves. [read post]
19 Nov 2010, 7:15 am
Only when “the market turns against you,” as a corporate banker I knew forty years ago would put it, ashen-faced, is your unconscious flimflam revealed. [read post]
19 Nov 2010, 5:00 am
Sabel in the Harvard Law School Forum on Corporate Governance and Financial Regulation On July 21, 2010, the President signed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), enacting numerous provisions intended to reform the mortgage lending industry with an eye towards consumer protection. [read post]
18 Nov 2010, 10:10 am
The Department of Labor’s Employee Benefits Security Administration today (November 18, 2010) its Pension Protection Act web page with the Annual Funding Notice for Defined Benefit Plans Proposed Rule, available at here, a fact sheet, available here, a model notice for single employer plans, available here, and a model notice for multiemployer plans, available here. [read post]
18 Nov 2010, 1:43 am
The regulator has laid out the norms for offer documents in the Disclosure and Investor Protection Guidelines, an exhaustive document that even specifies the thickness of the prospectus cover and the colours that may be used. [read post]
16 Nov 2010, 6:15 am
Assume a corporation has three shareholders and 100 shares outstanding. [read post]
15 Nov 2010, 11:51 am
And then there are the right-wingers arguing for a full austerity budget in the US, which supports, primarily, the idea of cutting Social Security and Medicare benefits while letting military costs continue to rise unabated and for reducing corporate taxes so that Big Business (read--U.S. multinationals) can "compete" more successfully globally without the "burden" of US taxes. [read post]
13 Nov 2010, 7:49 am
Shroff in the Corporate Department. [read post]
12 Nov 2010, 7:52 am
Whistleblowers are also protected from retaliation in addition to being rewarded. [read post]
10 Nov 2010, 4:49 pm
In addition, the audit firm must give the investors a privilege log describing the nature of any documents that it has withheld pursuant to Section 105(b)(5)(A). [read post]
9 Nov 2010, 7:44 am
Second, the proposed rule states that, in determining the amount of an award, the SEC must consider: the significance of the information provided by a whistleblower to the success of the Commission action or related action; the degree of assistance provided by the whistleblower and any legal representatives of the whistleblower in the Commission action or related action; the programmatic interest of the Commission in deterring violations of the securities laws by making awards to… [read post]
8 Nov 2010, 12:19 pm
Bill Gates, the Microsoft co-founder, who was in China last week with the billionaire investor Warren E. [read post]
8 Nov 2010, 12:33 am
The irony is that D&O insurers are in a position from which, at least in theory, they could positively influence corporate conduct and advance the regulatory goals of the securities laws. [read post]
7 Nov 2010, 1:41 pm
., state corporation laws, partnership acts, LLC acts). [read post]
5 Nov 2010, 8:35 pm
As Dodd-Frank is designed to dig out out financial fraud and crimes, its whistleblowers who report to the Securities and Exchange Commission (SEC) or the Commodity Futures Trading Commission (CFTC) can receive 10 percent to 30 percent of whatever penalty or fine is imposed against the corporation if more than $ 1 million. [read post]
5 Nov 2010, 1:04 pm
The Dodd-Frank Act directs the SEC to study whether investors should be able to sue secondary actors that aid or abet securities fraud as well as sue foreign companies that engage in transnational securities fraud. [read post]
5 Nov 2010, 9:04 am
Federal registration process involves filing form BD with the SEC, becoming a member of a self-regulatory organization (such as FINRA or a registered national securities exchange), becoming a member of the Securities Investor Protection Corporation and complying with all applicable state requirements. [read post]
5 Nov 2010, 5:00 am
” The proposed rule explains that the SEC will consider higher percentage awards for whistleblowers who first report violations through their compliance programs because “corporate compliance programs play a role in preventing and detecting securities violations that could harm investors. [read post]
