Search for: "Securities Investor Protection Corporation"
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16 Sep 2019, 7:10 am
(NASAA) celebrated its 100th year as the states’ investor protecting umbrella organization by, among other things, relaying an egregious case of fraud from the late 1980s/early 1990s involving Prudential that ultimately propelled NASAA into becoming the most prominent “local cop on the beat” for protecting investors. [read post]
14 Nov 2018, 4:32 am
The PCAOB also oversees the audits of brokers and dealers, including compliance reports filed pursuant to U.S. federal securities laws, to promote investor protection. [read post]
21 Jun 2018, 9:15 am
If you suffered losses investing in Corporate Property Associates 17 – Global Inc. and would like a free consultation with a securities attorney, please call The White Law Group at (888) 637-5510 The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
7 Jun 2017, 3:00 am
The SEC was formed to protect investors. [read post]
29 May 2007, 2:47 pm
., lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com Money-Track, a public-television series, and Investor Protection Trust, an investor education group, joined forces to conduct a survey of U.S. investors. [read post]
11 Jul 2017, 1:44 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
20 Nov 2019, 10:51 am
House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, available here. [read post]
19 Nov 2013, 12:00 am
Opting out of the JOBS Act protections would be consistent with this upfront, honest approach. [read post]
21 Sep 2018, 5:12 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
11 Nov 2014, 3:19 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
17 Apr 2023, 11:42 am
These two directors ultimately sidelined the director appointed by the investor and secured shareholder approval to remove him from the board. [read post]
23 Apr 2022, 5:42 pm
The definition of institutional investment managers includes trusts, banks, broker-dealers, corporations, pension funds, insurance companies, and investment advisors. [read post]
31 Jul 2017, 7:38 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
27 Jul 2013, 3:40 pm
Sometime in 1970, Congress enacted the Securities Investor Protection Act (SIPA), as amended, which authorized the formation of respondent corporation, a private nonprofit corporation, of which most broker-dealers registered under § 15(b) of the Securities Exchange Act of 1934, § 78o(b), are required to be members. [read post]
3 Mar 2010, 1:29 pm
Engle lost her license to deal securities in February of 2008 as part of an agreement with regulators and filed for Chapter 11 bankruptcy protection later that year. [read post]
3 Mar 2010, 1:29 pm
Engle lost her license to deal securities in February of 2008 as part of an agreement with regulators and filed for Chapter 11 bankruptcy protection later that year. [read post]
4 Aug 2008, 9:16 pm
This paper was presented by Professor Wu at the National Bureau of Economic Research Conference on Corporate Law and Investor Protection on July 28th, 2008.) [read post]
1 Oct 2009, 6:53 am
In contrast to corporate insiders, institutional investors cannot charge the costs of lobbying to the publicly traded companies whose investor protection is at stake. [read post]
2 Jan 2019, 6:29 am
The Government will be able to use Closed Material Proceedings (i.e. a procedure where all or part of a claim can be heard in private) to protect information which, if disclosed, would be harmful to national security. [read post]
21 Dec 2018, 6:00 am
Common Ownership: The Investor Protection Challenge of the 21st Century Posted by Robert J. [read post]
