Search for: "Securities Investor Protection Corporation"
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22 Mar 2012, 7:33 am
In an interim report, the GAO determined that the Securities Investor Protection Corporation (SIPC) generally followed its past practices in selecting the trustee for the Bernard Madoff liquidation. [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]
24 Jun 2009, 5:00 am
Another area of critical concern, however, will be her views on investor protection issues. [read post]
16 Apr 2021, 5:51 am
Securities and Exchange Commission, on Thursday, April 15, 2021 Tags: Capital formation, Disclosure, Financial reporting, Investor protection, Mergers & acquisitions, Regulation FD, SEC, Securities regulation, SPACs, Special purpose vehicles [read post]
26 Jul 2010, 10:49 am
Panama Attorneys Advise European investors forming Private Investment FundAttorneys Lombardi Aguilar Group advised a group of European investors to file before the Panama securities regulators a notice of compliance with private investment fund provisions.Panama City, Panama ---- Attorneys Lombardi Aguilar Group (http://www.laglex.com/) advised a group of European investors to file before the National Securities Commission (http://www.conaval.gob.pa/ -… [read post]
3 Sep 2008, 3:36 pm
For example, it is already apparent, that larger corporations and institutions are not being assured of any affirmative relief in the settlements and will be forced to fend for themselves in protecting their own economic interests. [read post]
7 May 2015, 10:56 pm
He was previously a corporate and securities partner at the law firm of Jeffer Mangels Butler & Mitchell LLP. [read post]
27 Aug 2022, 6:31 am
Today the Commission adopted a rule that provides investors with information about how corporate executives are paid. [read post]
27 Aug 2022, 6:31 am
Today the Commission adopted a rule that provides investors with information about how corporate executives are paid. [read post]
21 Apr 2021, 9:37 am
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. [read post]
25 Apr 2007, 1:45 pm
Once again, it is apparent that the SEC, which was formed and has a duty to protect investors, instead has as its agenda the goal to protect Wall Street and white collar criminals. [read post]
5 Jan 2019, 7:16 am
Hinman and Chair Clayton have been examining how the SEC can help to encourage IPOs while still maintaining the proper oversight necessary to protect investors—both elements of the SEC’s multiple responsibilities. [read post]
14 Feb 2010, 4:02 am
The $65 billion lost in the Madoff scandal highlights the huge losses millions of investors suffer as a result of corporate fraud. [read post]
2 Jul 2020, 9:58 am
Federal corporate whistleblower laws contain no similar exclusions from retaliation protections, and they are not necessary. [read post]
11 Jan 2019, 6:30 am
Emmerich and Robin Panovka, Wachtell, Lipton, Rosen & Katz, on Friday, January 4, 2019 Tags: Arbitrage, Boards of Directors, Deal protection, Engagement, Mergers & acquisitions, REITs, Shareholder activism, Shareholder suits, Shareholder value Fiduciary Blind Spot: The Failure of Institutional Investors to Prevent the Illegitimate Use of Working Americans’ Savings for Corporate Political Spending Posted by… [read post]
12 Feb 2010, 10:17 am
Congress recognized private securities litigation as andquot;an indispensable tool with which defrauded investors can recover their losses without having to rely upon government actionand#39; and consequently, such lawsuits and#39;promote public and global confidence in our capital markets and help to deter wrongdoing and guarantee that corporate officers, auditors, directors, lawyers and others properlyandnbsp;andnbsp;perform their jobs.andquot; The Securities… [read post]
29 Jan 2016, 6:07 am
Eisenberg, K&L Gates LLP, on Sunday, January 24, 2016 Tags: Broker-dealers, Compliance and disclosure interpretation, Corporate fraud, Disclosure, Investor protection, Liability standards, Misconduct, Misreporting, SEC, SEC enforcement, Securities damages, Securities Regulation 2015 Securities Law Developments Posted by Jason M. [read post]
16 Nov 2021, 6:08 am
By Lene Powell, J.D.In an opinion letter to the Delaware Court of Chancery, the SEC informed the court that although reverse mergers are not per se illegal under federal securities laws, they raise significant investor protection and market manipulation concerns. [read post]
9 Feb 2012, 3:38 pm
The California Department of Corporations stated that intended to “study how best to regulate advisers to alternative investment vehicles, while balancing the regulatory burden on such advisers, with any corresponding investor protections issues. [read post]
6 Apr 2019, 6:11 am
Securities and Exchange Commission. [read post]
