Search for: "Securities Investor Protection Corporation"
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9 Jul 2007, 8:03 am
The proposed NYSE rule is now under consideration by the Securities and Exchange Commission. [read post]
8 Jul 2007, 11:02 am
(2) A person exercising investment discretion with respect to an account shall make such disclosure of his policies and practices with respect to commissions that will be paid for effecting securities transactions, at such times and in such manner, as the appropriate regulatory agency, by rule, may prescribe as necessary or appropriate in the public interest or for the protection of investors [read post]
2 Jul 2007, 12:32 pm
Krugman writes, "But the securities were never as safe as advertised, because the risk transfer wasn't anywhere near big enough to protect investors from the consequences of a burst housing bubble. [read post]
29 Jun 2007, 10:04 am
He said the SEC was within its rights to make its recommendation, "given our charter and our responsibilities" to protect investors. [read post]
27 Jun 2007, 12:16 pm
Frank, it is "attempted extortion" to hold corporate financial advisors responsible for their role in corporate defrauding of investors. [read post]
27 Jun 2007, 12:16 pm
Frank, it is "attempted extortion" to hold corporate financial advisors responsible for their role in corporate defrauding of investors. [read post]
25 Jun 2007, 1:32 pm
Barney Frank (D-MA, Harvard Law ‘77) and the rest of the House Financial Services Committee peppers SEC chief Chris Cox and and his commissioners with questions today on securities regulation, citizens across the country are flooding the nation’s newspapers with letters to the editor, outraged that the Bush administration has thumbed its nose at protecting investors. [read post]
22 Jun 2007, 9:06 am
Some economists argue that markets themselves drive out false information, or at least provide good ways for investors to protect themselves (diversified portfolios, etc.) [read post]
19 Jun 2007, 9:15 am
Hawkins, PREPETITION SECURITY INTERESTS AND POSTPETITION FUTURE ADVANCES -- BEWARE ALL YE WHO ENTER, 28 Cal. [read post]
11 Jun 2007, 6:05 pm
-based Securities America Inc. a total of over $15 million for luring 32 long-term employees of Exxon Corporation into early retirement using false promises of high returns. [read post]
10 Jun 2007, 7:49 am
“The Stoneridge gambit has nothing to do with investor protection,” the editorial says. [read post]
30 May 2007, 4:57 pm
Supreme Court opposing investors seeking recovery for securities fraud. [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]
28 May 2007, 3:19 am
Insider trading defendants can thus rest assured that their suffering is for the greater good of protecting the SEC's budget while Corporate America is protected from the trial lawyers. [read post]
24 May 2007, 8:16 am
A big Bloomberg story puts Chris Cox on the hot seat, raising the issue of whether the SEC chairman is favoring corporations at the expense of investors. [read post]
24 May 2007, 1:00 am
SEC Dings Hewlett-Packard for Concealing Board Spat
The Recorder
The Securities and Exchange Commission chastised Hewlett-Packard Wednesday for failing to tell investors why board member Thomas Perkins abruptly resigned in May 2006. [read post]
22 May 2007, 2:29 pm
I find evidence that debtors commit to lender control in Chapter 11 through secured debt contracts. [read post]
21 May 2007, 9:04 pm
For decades investors have been told their accounts were protected by the Securities Investor Protection Corporation (SIPC) without being told what was covered by this insurance. [read post]
21 May 2007, 11:42 am
Lawyers at the Securities and Exchange Commission notified Stockman that he could face civil charges because of upbeat statements he made to investors two months before Collins & Aikman sought bankruptcy protection. [read post]
18 May 2007, 1:17 am
DLA Bags Two Reed Smith Partners
The Recorder
DLA Piper has lured away from Reed Smith two San Francisco corporate and securities partners, Dale Freeman and Garth Osterman, who joined the firm Thursday. [read post]
