Search for: "Securities Investor Protection Corporation"
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28 Jul 2010, 5:21 am
I want to give credit to Weil Gotshal & Manges, Davis Polk & Wardwell, as well as the Harvard Law School Forum on Corporate Governance and Financial Regulation. [read post]
27 Jul 2010, 9:50 am
[more]Corporate and Securities Alert: The Dodd-Frank Act: Provisions Affecting Corporate Governance And Executive Compensation Disclosures For All Public Companies [Fenwick & West]The Act also makes significant changes to corporate governance and executive compensation rules for public companies in all industries. [read post]
27 Jul 2010, 9:39 am
Until earlier this month, the definition of "accredited investor" in the C.F.R. included an investor with a net worth of at least $1 million, and contained no exclusion for the value of that investor's primary residence in calculating net worth.As described in the Sheppard Mullin Corporate & Securities Law Blog, the recent Dodd-Frank Wall Street Reform and Consumer Protection Act, which became effective on July 21, 2010, amends… [read post]
27 Jul 2010, 8:00 am
Investor Protection – Amendments to the 1933 Act (footnote 11) and the 1934 Act (footnote 12) Changes to SEC Regulation D The SEC adopted Regulation D in 1982 (footnote 13) to provide a safe harbor exemption from registration for certain securities offerings of securities. [read post]
27 Jul 2010, 6:00 am
These provisions are generally (but not solely) found in Titles IV (“regulation of advisors to hedge funds and others”) and IX (“investor protections and improvements to the regulation of securities”) of the Act. [read post]
26 Jul 2010, 10:49 am
Panama Attorneys Advise European investors forming Private Investment FundAttorneys Lombardi Aguilar Group advised a group of European investors to file before the Panama securities regulators a notice of compliance with private investment fund provisions.Panama City, Panama ---- Attorneys Lombardi Aguilar Group (http://www.laglex.com/) advised a group of European investors to file before the National Securities Commission (http://www.conaval.gob.pa/ -… [read post]
26 Jul 2010, 10:19 am
Ideally, securitization should result in assets being held by end investors rather than by leveraged bank intermediaries. [read post]
26 Jul 2010, 9:38 am
In addition, the legislation would require institutional investment managers who oversee more than $100 million in securities to disclose how they vote on corporate requests to authorize political spending. [read post]
23 Jul 2010, 10:06 am
It is probably the broadest injunction in the entire body of United States law, because it is designed to stop the "race of diligence" among creditors, and to protect the debtor and the bankruptcy estate, in Arizona and the rest of the country. [read post]
23 Jul 2010, 5:59 am
Background Prior to the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, signed into law by President Obama on July 21, 2010, the definition of an "accredited investor" under Rule 215 of the Securities Act of 1933 and Rule 501 of Regulation D included a natural person with a net worth of at least $1 million, either individually or jointly with the investor's spouse, and the value of such investor's primary… [read post]
22 Jul 2010, 6:39 pm
Given recent debates over the size of the threat posed by cyberwar, I thought I’d mention the following simulation that was done by the RAND Corporation in 1999. [read post]
19 Jul 2010, 1:49 pm
So, everyone's favorite part of the executive compensation protest finds a home in the Dodd-Frank Bill, in Subtitle E of Title IX -- Investor Protections and Improvements to the Regulation of Securities. [read post]
19 Jul 2010, 6:44 am
Protective provisions recite things that a company must NOT do, unless it first obtains the permission of the outside investors. [read post]
16 Jul 2010, 3:03 pm
The act enhances whistleblower protections in several ways. [read post]
15 Jul 2010, 12:44 pm
Best Company, Inc., Moody’s Investors Service, Inc., and Standard & Poor’s Ratings Service. [read post]
15 Jul 2010, 11:37 am
Treasury from $1 billion to $2.5 billion to support the work of the Securities Investor Protection Corporation and raises SIPC’s maximum cash advance amount to $250,000 in order to bring the program in line with the protection provided by the Federal Deposit Insurance Corporation. [read post]
14 Jul 2010, 5:01 pm
In provisions authored by Senator Dodd, the recovery legislation mandated important corporate governance safeguards and imposed various executive compensation limits on companies participating in the troubled assets relief program (TARP), including a requirement for a nonbinding shareholder advisory vote on executive compensation and for independent compensation committees, presaging requirements that would be placed on all listed companies by the Dodd-Frank Act.On February 25, 2009,… [read post]
14 Jul 2010, 1:52 pm
., which describes itself as an investor advocacy group which does research related to shareholder issues and informs investors of securities class actions, settlements, judgments, and other legal related news to the stock/financial market, won the predictable race to the courthouse. [read post]
13 Jul 2010, 4:22 am
While this was the intention in the early 1990s when Industry Canada was formed as a "super Ministry" that merged Consumer and Corporate Affairs with Communications, this experiment has failed. [read post]
12 Jul 2010, 2:18 am
Finally, a July 6, 2010 memo by the Katten Muchin law firm entitled "Dodd-Frank Wall Street Reform and Consumer Protection Act Corporate Governance and Disclosure Provisions" reviews the Bill’s various provisions relating to corporate governance and disclosure practices. [read post]
