Search for: "Securities Investor Protection Corporation"
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31 May 2014, 11:35 am
In March 2014, Ceres, the Investor Initiative for Sustainable Exchanges submitted an Investor Listing Standards Proposal: Recommendations for Stock Exchange Requirements on Corporate Sustainability Reporting. [read post]
9 Aug 2019, 6:16 am
Smith, EY Center for Board Matters, on Thursday, August 8, 2019 Tags: Board composition, Boards of Directors, Corporate Social Responsibility, Disclosure, Diversity, ESG, Institutional Investors, Sustainability [read post]
9 Dec 2019, 7:36 am
Tribal governments should be provided parity with state governments, and the dollar amounts to scale for geography should be revised to lower the thresholds in states/regions with a lower cost of living.The Commission responded that the Division of Corporation Finance is currently considering recommending propose amendments to expand the definition of accredited investor under Securities Act Regulation D. [read post]
17 Mar 2018, 12:00 am
The court ruled these statements were corporate puffery protected by the PSLRA. [read post]
20 Jan 2010, 2:36 pm
A broader conception of securities regulation’s objectives – and one that I espouse -- views the mitigation of systemic risk as related to investor protection and particularly market confidence. [read post]
3 Sep 2010, 12:38 pm
Securities and Exchange Commission voted 3-2 to approve a final proxy access rule on Aug. 25, various investors, academics, corporate advisers, and other governance observers have weighed on the merits of the new rule.The new Rule 14a-11 would require investor groups to own a 3 percent stake for at least three years to be eligible to nominate directors to appear on management proxy statements. [read post]
11 Jul 2019, 6:00 am
Res. 456) expresses support for state securities regulators’ investor protection and investor education missions while also urging the SEC to “maintain and expand voluntary collaboration with State securities regulators. [read post]
21 Sep 2012, 10:26 am
Kline writes: The Securities Investor Protection Corporation (SIPC) issued a news release that “[n]early $2.5 billion in checks were mailed Wednesday (September 19, 2012) to victims in the liquidation of Bernard L. [read post]
30 Apr 2013, 1:37 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
14 Jun 2018, 8:02 am
The nexus between modernized whistleblower protection laws, social responsibility commitments, and the material impact on investors is key. [read post]
13 Jul 2021, 5:30 am
The questions and suspicions from all fronts were scarcely addressed by Enron, which held only a handful of employee and investor phone calls before going radio silent. [read post]
12 Aug 2021, 10:33 am
(SEC Ongoing Investor Protections). [read post]
14 Aug 2020, 6:29 am
Securities and Exchange Commission, on Friday, August 7, 2020 Tags: Asset management, Disclosure, Investor protection, Mutual funds, SEC, SEC rulemaking, Securities regulation Initial Perspectives and Implications of SEC Proxy Advisory Reform Posted by Adam O. [read post]
8 Feb 2019, 6:04 am
Potential Changes to Fund of Funds Arrangements Posted by Thomas Hiller, Brian McCabe, and Edward Baer, Ropes & Gray LLP, on Friday, February 1, 2019 Tags: Exchange-traded funds, Investment advisers, Investment Advisers Act, Investor protection, Risk management, SEC, SEC rulemaking, Section 12(d), Securities regulation The Latest on Proxy Access Posted by Holly J. [read post]
25 Mar 2020, 10:16 am
Securities and Exchange Commission Chairman Jay Clayton, the SEC’s Division of Enforcement has made the protection of Main Street investors its overarching priority. [read post]
4 Oct 2011, 8:22 am
andquot; (andquot;The mortgage giantandrsquo;s house isnandrsquo;t well protected against a stormier credit market. [read post]
20 May 2016, 9:59 am
All payments are made out of an investor protection fund established by Congress that is financed through monetary sanctions paid to the SEC by securities law violators. [read post]
5 Jul 2022, 9:05 pm
Powerful interest groups such as these will prevent change that could better protect outside investors. [read post]
28 Oct 2015, 2:21 pm
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 and Vero Beach, Florida. [read post]
16 Jun 2023, 12:42 pm
(And, I sure do hope the portal for receiving this information is secure!) [read post]
