Search for: "Securities Investor Protection Corporation"
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13 Sep 2009, 7:24 pm
While the Interstate Land Sales Act (“ILSA”) was modeled on the Securities Act of 1933, and the two may share the underlying principles of full disclosure and protection from fraud, ILSA occupies a different universe all its own. [read post]
10 Sep 2009, 9:47 pm
Several investors groups have raised objection to this, and SEBI may be looking at discarding this provision. [read post]
9 Sep 2009, 5:13 pm
Reports say that Investigators said that "Dirty Barry" also lied to investors claiming their money was insured through the Securities Investors Protection Corporation (SIPC). [read post]
9 Sep 2009, 10:24 am
Barry also claimed to some investors that their money was protected from loss by private insurance and by the Securities Investors Protection Corporation (SIPC). [read post]
9 Sep 2009, 8:22 am
Barry assured investors that their investments were safe and were covered by the Securities Investors Protection Corporation, which protects investors if a brokerage firm fails. [read post]
8 Sep 2009, 9:58 am
But are the ratings of securities that were distributed to a limited number of investors deserving of the same free-speech protection as more general ratings of corporate bonds that were widely disseminated? [read post]
8 Sep 2009, 2:56 am
As also noted above, Excess Side A protection increasingly will become a standard part of any well designed D&O insurance program. [read post]
8 Sep 2009, 2:49 am
" After Cheyne collapsed, the investors filed suit against Morgan Stanley, which had promoted and distributed the notes; Bank of New York Mellon, which had provided certain custodial and administrative services for Cheyne; and the rating agencies (including Moody’s and S&P and their corporate parents). [read post]
7 Sep 2009, 12:06 pm
Page Perry, LLC is handling a number of auction rate securities cases for investors who lost liquidity due to the collapse of the auction market. [read post]
3 Sep 2009, 5:06 am
The law requires licensees to apply for membership in theEscrow Agents’ Fidelity Corporation, a nonprofit mutual benefit corporation,which is established to indemnify its members against loss of trustobligations. [read post]
2 Sep 2009, 5:20 pm
Protection by the Securities Industry Protection Corporation merely means that "what you see is what you get" in a securities account. [read post]
1 Sep 2009, 7:51 am
The same division will also apply to swaps based on corporate debt and event-based contracts. [read post]
30 Aug 2009, 3:45 pm
• Reader's Digest filed for bankruptcy protection. [read post]
25 Aug 2009, 12:29 pm
" The coalition of seven corporate law firms suggested that the SEC impose a 5 percent threshold for a single investor and a higher threshold (7-to-10 percent) for investor groups. [read post]
21 Aug 2009, 2:08 pm
Eschewing relatively obvious issues of corporate and securities law, he jumps right into the thick of the theoretical implications of the Supreme Court's attempt to evaluate competing econometric analyses of the fund market, briefly detouring along an important byway through competing behavioral and classical economic approaches. [read post]
18 Aug 2009, 6:18 am
The proxy rules (and the securities laws in general) have long provided mandatory arrangements establishing a minimum level of protection for public investors, with companies being free to add additional protections but not to reduce investors' protections below the established minimum. [read post]
17 Aug 2009, 6:48 am
"The law protects all kinds of victims. [read post]
17 Aug 2009, 5:00 am
Mutual fund investors do not have the rights and protections available to shareholders of the underlying corporations, because a shell company, the mutual fund, is the legal shareholder. [read post]
14 Aug 2009, 12:51 am
In the first 9th Circuit analysis of whistleblower protections under Sarbanes-Oxley corporate governance laws, Judge Jay Bybee found the plaintiffs did not have to prove actual fraud at their company to sue but merely had to demonstrate that they believed fraud had occurred. [read post]
6 Aug 2009, 6:51 am
The 1994 Central Bank decision was a "major gift" to individuals and corporations that aided in a fraud, he said. [read post]
