Search for: "Securities Investor Protection Corporation"
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13 Dec 2021, 6:41 am
For more information on the firm’s investigation, please see: Business Development Corporation of America (BDCA) Investment Losses update 2/25/21 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 andSeattle, Washington. [read post]
16 Jul 2021, 6:18 am
Paul Forrester, Andrew Olmem, and Christina Thomas, Mayer Brown LLP, on Friday, July 9, 2021 Tags: Climate change, Corporate Governance Improvement and Investor Protection Act, Cybersecurity, Environmental disclosure, ESG, Human capital, Risk disclosure, SEC, Securities regulation, Stakeholders Ripples of Responsibility: How Long-Term Investors Navigate Uncertainty With Purpose Posted by Matthew… [read post]
3 Jan 2013, 11:11 am
Rosenthal, Vice President-Investor Relations and Secretary of Exxon Mobil Corporation. [read post]
30 Jul 2009, 12:48 pm
Professor Coates testified on July 29, 2009 in the hearing on “Protecting Shareholders and Enhancing Public Confidence by Improving Corporate Governance. [read post]
23 Oct 2018, 7:03 am
A fully competitive market may not need conflict of interest rules, for example, but investor protections need to be strengthened when investors have fewer options. [read post]
19 Mar 2014, 1:45 pm
In general terms, the law contains provisions that protects individuals who “blow the whistle” on corporate fraud and other investor mischief committed by publicly traded companies. [read post]
18 Jan 2011, 5:10 am
The basis for the investor-state claim is that the investor received unfair treatment and lack of protection and security. [read post]
29 Aug 2023, 8:10 am
" (Call for Input: Investors, ESG and Human Rights) This continues a long process and predilection of the Working Group to have the financial services industry the the laboring oar in disciplining operating companies where the state cannot or could care less about their duty to protect human rights under Pillar 1. [read post]
9 Mar 2014, 6:34 am
Title III of the JOBS Act created an exemption from registration for the offer and sale of so-called "crowdfunded" securities under the Securities Act of 1933, allowing the offer and sale of securities to an unlimited number of unaccredited investors without registration with the SEC, on an Internet-based platform, through intermediaries (portals) which are either registered broker-dealers or SEC licensed "funding portals." [read post]
23 Mar 2018, 6:23 am
Securities and Exchange Commission, on Saturday, March 17, 2018 Tags: Disclosure, Fund managers, Information asymmetries, Information environment, Institutional Investors, Investor protection, Liquidity, Mutual funds, Retail investors, Risk management, SEC, Securities regulation, Transparency Investor Pressure on Firearms Manufacturers Posted by Courteney Keatinge,… [read post]
House Panel Approves Proxy Access ProvisionSubmitted by Ted Allen, Publications/Governance Institute
4 Nov 2009, 5:39 am
House Financial Services Committee voted 41-28 today to approve a wide-ranging investor protection bill that affirms the authority of the Securities and Exchange Commission to issue a rule on proxy access. [read post]
25 May 2012, 11:10 am
The SEC’s Office of the Whistleblower said that the Working Group is particularly interested in information about residential mortgage-backed securities fraud from corporate insiders who worked in the industry and witnessed the misconduct. [read post]
9 Mar 2016, 4:01 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
13 Oct 2008, 3:09 pm
Here is the publisher's blurb.In the wake of the Enron meltdown and other corporate scandals, the United States has increasingly relied on Securities and Exchange Commission oversight and the Sarbanes-Oxley Act, which set tougher rules for boards, management, and public accounting firms to protect the interests of shareholders. [read post]
11 Mar 2010, 10:05 pm
Further, it has nothing to do with the investor protection goals of the Securities Exchange Act. [read post]
7 Oct 2021, 10:14 am
Securities lawyer, David R. [read post]
27 Mar 2013, 1:43 pm
The EB-5 immigrant investor program provides an important source of capital for investment in job-creating businesses in the United States, but in order to protect the market for these investments, the EB-5 community must demonstrate its commitment to the protection of EB-5 investors from fraudulent operators. [read post]
25 Jul 2018, 12:54 pm
If all of the shareholders of the California corporation are “accredited investors,” as defined in Rule 501(a) of Regulation D promulgated under the Securities Act,[5] then the analysis is relatively straight-forward. [read post]
9 Jun 2011, 4:06 am
Senators Ask SEC for Guidance on Information Security Risk Disclosure While my computer recovers from a meltdown, here is a guest blog courtesy of Jim Brashear, General Counsel, Zix Corporation: Spate of Data Security Incidents The news media recently have reported many high-profile breaches of corporate data security. [read post]
17 Oct 2011, 12:37 pm
Panelists at an SEC roundtable on the execution, clearance and settlement of microcap securities called for a more transparent and holistic process in response to a question from SEC Chairman Mary Schapiro on what the SEC could do is the area to enhance investor protection. [read post]
