Search for: "SECURITIES AND EXCHANGE COMMISSION v. SECURITIES INVESTOR PROTECTION CORPORATION"
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24 Aug 2012, 3:55 pm
Falcone Face SEC Securities Charges Over Client Asset Misappropriation and Market Manipulation Allegations, Institutional Investor Securities Blog, June 29, 2012 Montford Associates to Pay $650,000 in Securities and Exchange Commission Penalties Over Failure to Disclose Payments from Hedge Fund, Institutional Investor Securities Blog, May 1, 2008 [read post]
29 Jun 2023, 10:26 am
Securities and Exchange Commission (SEC), the SEC Whistleblower Reform Act of 2023 “will help ensure that the SEC Whistleblower Program remains an indispensable tool in the Commission’s efforts to police wrongdoing and protect investors. [read post]
14 Mar 2021, 8:04 am
As the new leadership of the Securities and Exchange Commission considers the agency’s regulatory priorities, they might take note of the recent decision of the Delaware Court of Chancery in The Williams Companies Stockholder Litigation. [read post]
21 Jun 2019, 6:42 am
Securities and Exchange Commission, on Friday, June 14, 2019 Tags: Capital markets, Exchange-traded funds, Index funds, Investment Company Act, Investor protection, Liquidity, Market conditions, SEC, Transparency Investors Bancorp‘s Impact on Long-Term Incentive Plans Posted by Matthew B. [read post]
12 Apr 2022, 1:34 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
2 Mar 2018, 6:09 am
Securities and Exchange Commission, on Tuesday, February 27, 2018 Tags: Arbitration, Charter & bylaws, Class actions, Institutional Investors, Investor protection, IPOs, Retail investors, Securities Act, Securities litigation, Securities regulation, Settlements, Shareholder rights An Overview of U.S. [read post]
4 Jul 2012, 12:41 pm
A federal judge denied an SEC request to compel the Securities Investor Protection Corporation (SIPC) to file an application for a protective decree and commence a liquidation proceeding in relation to the fraudulent activities of Robert Allen Stanford. [read post]
6 Aug 2007, 2:55 pm
Clement to enter the case to support Stoneridge Investment and other investors, since Clement had been asked to do so by the current Securities and Exchange Commission. [read post]
20 Apr 2012, 9:28 pm
’s Quarterly Corporate Fraud Index, the Securities and Exchange Commission's new whistleblower bounty program may be indirectly leading to a resurgence in corporate internal reporting mechanisms. [read post]
10 Jul 2023, 8:26 am
Securities and Exchange Commission (SEC) has repeatedly urged investors to take caution when considering an investment in cryptocurrency, pointing to the exceptionally volatile and speculative nature of the currencies (coins) and the lack of protections for investors in the cryptocurrency trading platforms. [read post]
16 Sep 2014, 11:40 am
READ PARTS I-V (pp. 101-138 in SSRN version). [read post]
15 Feb 2012, 9:13 am
The institutional investors stand ready to assist the Commission combat efforts to weaken or roll-back the important investor protection provisions of the Dodd-Frank Act. [read post]
20 Apr 2010, 8:00 am
On April 16, 2010, the Securities and Exchange Commission (“SEC”) filed charges against Goldman Sachs & Co. [read post]
21 Nov 2017, 12:00 am
In SEC v. [read post]
10 Dec 2021, 4:59 am
Birdthistle (Chicago-Kent College of Law) and Quinn Curtis (University of Virginia), on Monday, December 6, 2021 Tags: Conflicts of interest, DOL, ERISA, Fiduciary rule, Institutional Investors, Investment advisers, Investor protection, Mutual funds, Prudence, Retirement plans, Securities regulation U.S. [read post]
10 Jan 2020, 6:10 am
Securities and Exchange Commission, on Thursday, January 9, 2020 Tags: Disclosure, Equity capital, Equity securities, Financial technology, Regulation NMS, SEC, Securities regulation [read post]
8 Dec 2011, 12:10 pm
In a recent case, the Securities & Exchange Commission's consent settlement with Citigroup was rejected by presiding Judge Rakoff of the Federal District Court in Manhattan, calling into question SEC's enforcement regime. [read post]
10 Jun 2016, 6:15 am
Securities & Exchange Commission, on Friday, June 3, 2016 Tags: Audit trail, Capital formation, Capital markets, Disclosure, Dodd-Frank Act, Equity capital, Investor protection, JOBS Act, Regulation NMS, SEC, SEC rulemaking, Securities regulation, Small firms, Transparency Delaware Court of Chancery Appraises Fully-Shopped Company at Nearly 30% Over Merger Price Posted by Martin Lipton and Theodore N. [read post]
15 Dec 2011, 12:22 am
In Dugal v. [read post]
29 Sep 2011, 1:35 am
In prior posts I described the first portion of this article, which will use legislative and judicial history to elaborate on the SEC’s mandate to consider the impact of new rules on what I am calling the “four pillars” or “four principles” of securities regulation: investor protection, efficiency, competition, and capital formation. [read post]
