Search for: "Securities Investor Protection Corporation"
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17 Jan 2023, 10:29 am
On December 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to modernize Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and add new disclosure requirements to enhance investor protections against insider trading. [read post]
17 Jan 2023, 5:00 am
Economists and legal scholars sometimes distinguish between “economic” and “social” regulation, with NPU law forming the centerpiece of the former, and the latter consisting of subjects such as health, safety, and environmental law and consumer and investor protection. [read post]
17 Jan 2023, 4:00 am
The Securities and Exchange Commission (SEC) has long had a whistleblow [read post]
16 Jan 2023, 7:00 am
Income tax preparation services use the latest security measures to protect your information, so you can rest assured that your personal and financial information is safe. [read post]
15 Jan 2023, 2:35 pm
This article explores guidelines from the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) and provides practical strategies for corporations to navigate the investigation process. [read post]
12 Jan 2023, 11:06 am
These policies also provide some protections for the entity. [read post]
11 Jan 2023, 9:05 pm
” Enforcement mechanisms such as disclosure requirements, securities fraud, and consumer protection litigation have the potential to translate voluntary corporate pledges into meaningful emissions reductions, he argues. [read post]
11 Jan 2023, 10:43 am
Governance Corporate governance refers to the organization and leadership of the company. [read post]
10 Jan 2023, 7:12 pm
To that end, it also represents the further operationalization of the principles and objectives of New Era ideology centering on the development of the Socialist Market economy expressed in the First Secretary's Report to the 20th CPC Congress in October 2022 ("We will refine the systems underpinning the market economy, such as those for property rights protection, market access, fair competition, and social credit, in order to improve the business environment. [read post]
10 Jan 2023, 10:32 am
The Allianz Global Investors US guilty plea to securities fraud was discussed by Zagaris. [read post]
10 Jan 2023, 10:32 am
The Allianz Global Investors US guilty plea to securities fraud was discussed by Zagaris. [read post]
10 Jan 2023, 9:05 am
On December 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to modernize Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and add new disclosure requirements to enhance investor protections against insider trading. [read post]
10 Jan 2023, 8:00 am
Historic market trends indicate that bullish investors will return to the stock market by mid-2023. [read post]
9 Jan 2023, 12:30 pm
Each secured millions of dollars from venture capital firms and investors as startups. [read post]
9 Jan 2023, 4:38 am
Husband and Wife had substantial securities assets, jointly investing in three separate brokerage accounts worth between $2 and $3 million. [read post]
5 Jan 2023, 2:26 pm
Torts -- Contracts -- Limited liability companies -- Officers and directors -- Fraud -- Individual liability -- Active participation theory -- Claim that president of LLC made fraudulent representations that LLC held title to property that was offered to plaintiff investors as collateral in exchange for plaintiffs' loan to LLC despite knowledge that LLC did not have title -- Trial court erred in entering summary judgment in favor of president based on determination that… [read post]
4 Jan 2023, 9:54 am
If the adoption of new solutions slows, investors stop investing in new solution development. [read post]
4 Jan 2023, 6:09 am
The panel rejected Garvey’s contention that Section 806 is focused on preventing corporate or securities fraud by prohibiting retaliation against whistleblowers and thus should apply whenever the fraudulent conduct reported would affect U.S. investors. [read post]
3 Jan 2023, 1:47 pm
There were 196 federal court securities class action lawsuits filed in 2022, representing about a 10% decline in the number federal court securities suits compared to 2021 (when there were 218 securities class action lawsuits filed). [read post]
29 Dec 2022, 9:05 pm
Hodges, which protects the right to same-sex marriage. [read post]
