Search for: "Securities Investor Protection Corporation"
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22 May 2024, 8:30 am
The reasoning behind the rule is simple: if the SEC receives multiple reports across a number of these types of entities, then it can take swift steps to protect markets and investors,” said Gurbir S. [read post]
21 May 2024, 9:01 pm
This means that it is possible to render advice to a retirement investor without being a fiduciary, so long as the relationship between the advice provider and the retirement investor is clearly defined and understood by all parties. [read post]
20 May 2024, 9:05 pm
A more functional approach to Section 10(b) standing must be adopted if investors in this context are to be accorded the protections that Congress and the Supreme Court intended. [read post]
20 May 2024, 8:03 pm
Jackman J held that the clause was not unfair as it did not create a significant imbalance between the parties and the term was reasonably necessary to protect the insurer’s interests. [read post]
17 May 2024, 5:00 am
CFPB Survives Another Attack Consumer Financial Protection Bureau v. [read post]
16 May 2024, 9:01 pm
In a 2018 op-ed, he said: “If historical trends continue, a handful of giant institutional investors will one day hold voting control of virtually every large U.S. corporation. [read post]
15 May 2024, 9:01 pm
In an effort to secure the lucrative engagement, a senior partner at an audit firm secretly promises the issuer’s CFO that if his firm is chosen as the company’s auditor, his firm would provide tax and other permissible non-audit services to the company at reduced rates. [read post]
14 May 2024, 9:05 pm
Inc, which focuses on securities regulation but is nonetheless relevant for the corporate governance aspects of board observers, exemplifies the protective benefits of board observers in litigation. [read post]
13 May 2024, 9:05 pm
By then, the market may not have time to help save the bank or the industry, protect regulators’ reputation, and reduce direct losses to investors and indirect costs to the U.S. [read post]
10 May 2024, 3:00 am
The Miami Herald has reported the mayor received a $10,000 monthly retainer and was also promised commissions if he helped woo investors, find real estate, and secure financing for Kapoor’s projects in Miami and elsewhere. [read post]
9 May 2024, 11:59 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
8 May 2024, 2:26 pm
In 2021, President Biden signed the American Rescue Plan Act of 2021, which included “Special Financial Assistance” provisions to help the Pension Benefit Guaranty Corporation bail out financially troubled multi-employer (union) pension plans at a projected cost of $74-$91 billion.[4] And in late 2022, President Biden signed the Consolidated Appropriations Act (CAA) of 2023, which included SECURE Act 2.0. [read post]
7 May 2024, 7:35 am
The advisers, including FSC Securities Corporation, Osaic Wealth, Inc. [read post]
6 May 2024, 10:00 pm
Risk factors are critical disclosures that inform investors about the risks of investing in the securities of a public company. [read post]
6 May 2024, 9:05 pm
Notably, even when limiting attention to non-securities cases that are not disclosed to investors, the link between pending cases and volatility remains significant. [read post]
5 May 2024, 7:11 pm
At one extreme, in the case of a freeze-out merger–where the corporate machinery is allegedly used to deprive investors of their shares and/or voting rights–all deal negotiators must be completely independent and disinterested. [read post]
3 May 2024, 6:30 am
Moll (University of Houston), on Tuesday, April 30, 2024 Tags: close corporations, Closely-held corporations, contractual formalism, corporation, formalism, oppression, reasonable expectations, shareholder oppression, Shareholders Action Items for Boards: Where Directors and C-Suite Leaders Align and Diverge Posted by Frank Kurre, Protiviti; Mark Rogers, BoardProspects; and Michael Tae, Broadridge Investor Communication Solutions, on Tuesday, April 30, 2024 … [read post]
3 May 2024, 6:30 am
Moll (University of Houston), on Tuesday, April 30, 2024 Tags: close corporations, Closely-held corporations, contractual formalism, corporation, formalism, oppression, reasonable expectations, shareholder oppression, Shareholders Action Items for Boards: Where Directors and C-Suite Leaders Align and Diverge Posted by Frank Kurre, Protiviti; Mark Rogers, BoardProspects; and Michael Tae, Broadridge Investor Communication Solutions, on Tuesday, April 30, 2024 … [read post]
2 May 2024, 12:35 pm
RBC failed to establish, maintain, and enforce a supervisory system, including written procedures, reasonably designed to achieve compliance with FINRA and Municipal Securities Rulemaking Board rules with respect to representatives’ recommendations of high-yield corporate and municipal bonds. [read post]
2 May 2024, 9:56 am
The RIS comprises of a proposed Directive as regards the EU retail investor protection rules. [read post]
