Search for: "Securities Investor Protection Corporation"
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30 Aug 2010, 12:33 am
SEBI’s general domain extends to protecting investors of listed companies and the securities markets. [read post]
27 Aug 2010, 11:50 am
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”) also prohibits broker discretionary voting on the election of directors. [read post]
26 Aug 2010, 4:14 pm
Other concurrent developments in corporate and securities law may have effects that may tend to counteract (or at least inject considerable noise to) the proxy access debate. [read post]
26 Aug 2010, 12:32 pm
Here's the abstract:The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 has ensured that a shareholder’s ability to place nominees to the board onto the corporate ballot, an objective long advocated by the institutional investor community, will soon be implemented by the Securities and Exchange Commission. [read post]
26 Aug 2010, 11:58 am
Perhaps it’s fitting that a company which sells external security to customers also provides a little security for some of its own. [read post]
25 Aug 2010, 9:00 am
Proxy access is consistent with investor protection, noted the SEC, since investors are best protected when they can exercise the rights they have as shareholders without unnecessary obstacles imposed by the federal proxy rules. [read post]
25 Aug 2010, 7:00 am
Proxy access will not be available to investors that seek a change in corporate control. [read post]
18 Aug 2010, 8:29 pm
Anschutz, the well-known Los Angeles-based entrepreneur and natural resources investor. [read post]
17 Aug 2010, 11:50 am
Credit ratings affect the pricing of debt securities and also the ability of certain investors to purchase and hold the securities. [read post]
13 Aug 2010, 3:56 pm
That is why setting limits on involvement in hedge funds and private equity funds is critical to protecting against risks arising from asset management services. [read post]
13 Aug 2010, 8:00 am
Many of these key policies are critical to help protect the company and its employees from potential securities law violations, and to provide assurance to investors and others that the company is maintaining an appropriate “tone at the top” through the implementation of the latest corporate governance best practices. [read post]
13 Aug 2010, 5:15 am
Some comments have already trickled in, including this note from an experienced investor who has a truly novel idea in these times of many recycled ideas: require CEOs to swear to protect and defend the interests of the company along with an annual certification as to their fairness, honesty and integrity. [read post]
10 Aug 2010, 12:16 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
9 Aug 2010, 4:21 pm
According to the Commission, the NYSE’s change was designed to enhance corporate governance and accountability by helping assure that investors with an economic interest in the company vote on the election of directors. [read post]
4 Aug 2010, 3:21 pm
Cook cautioned that experience teaches that antifraud authority alone is not enough to protect investors. [read post]
3 Aug 2010, 11:32 am
Proper investments: government securities, first mortgages on land with adequate security, high grade corporate bonds, productive land. [read post]
3 Aug 2010, 5:00 am
Sources: SEC Compliance and Disclosure Interpretations under the Securities Rules Corp Fin Issues a New “Accredited Investor” CDI by Broc Romanek in The Corporate Counsel .net Underwater Mortgages & the New “Accredited Investor” Net Worth Test by William Carleton SEC Staff Clarifies Dodd-Frank Change to Accredited Investor Test in Jim Hamilton’s World of Securities Regulation The Changing Standard for an… [read post]
2 Aug 2010, 6:15 am
Filed under: corporate governance, fiduciary duties, securities litigation [read post]
30 Jul 2010, 12:50 pm
See Title IX – Investor Protections and Improvements to the Regulation of Securities, Subtitle G – Strengthening Corporate Governance, Sec. 971. [read post]
29 Jul 2010, 12:25 pm
Too bad financial firms can’t cobble together filters for questionable disclosures. that might do an even better job of protecting their images. [read post]
