Search for: "Securities Investor Protection Corporation"
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19 Aug 2022, 4:00 am
There is growing concern among experts that officials sympathetic to Trump’s claims of vote-rigging could undermine election security in the name of protecting it. [read post]
16 Aug 2022, 8:02 am
The client may wish to hold the NFT in an entity such as a corporation. [read post]
11 Aug 2022, 9:05 pm
Investors in securitization, project finance, covered bonds, oil-and-gas and mineral production payments, and other types of structured finance transactions – valued at many trillion of dollars of securities outstanding – require both the entity issuing securities and the transaction itself to be structured as bankruptcy remote. [read post]
10 Aug 2022, 6:50 pm
This was enabled in part by the fact that SPACs do not need to comply with many investment regulations intended to protect investors from such lofty projections. [read post]
10 Aug 2022, 10:51 am
“Over the past decade, the SEC’s whistleblower program has played a critical role in the Division of Enforcement’s ability to effectively detect wrongdoing, protect investors and the marketplace, and bring violators to justice,” Grewal said. [read post]
10 Aug 2022, 6:14 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 and Seattle Washington. [read post]
5 Aug 2022, 11:34 am
We take special care to protect whistleblowers. [read post]
1 Aug 2022, 9:05 pm
But they argue that protecting investors must include access to quality ESG data given investors’ trillions of investment dollars and their desire to embed ESG into their portfolios and shareholder votes. [read post]
29 Jul 2022, 5:39 pm
Securities and Exchange Commission (SEC) has published several Investor Alerts and Bulletins focused on specific types of investors and investment products. [read post]
29 Jul 2022, 7:00 am
This is the true story of Dodd-Frank: Restitution to victims of securities fraud, billions to the taxpayers, compensation and protections for the whistleblowers, and some accountability on Wall Street. [read post]
29 Jul 2022, 6:30 am
Sharfman (Main Street Investors Coalition Advisory Council), on Thursday, July 28, 2022 Tags: Climate change, Comment letters, Disclosure, Environmental disclosure, ESG, Investor protection, Risk, SEC, SEC rulemaking, Securities regulation Remarks by Chair Gensler at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” Posted by Gary Gensler, U.S. [read post]
29 Jul 2022, 6:30 am
Sharfman (Main Street Investors Coalition Advisory Council), on Thursday, July 28, 2022 Tags: Climate change, Comment letters, Disclosure, Environmental disclosure, ESG, Investor protection, Risk, SEC, SEC rulemaking, Securities regulation Remarks by Chair Gensler at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” Posted by Gary Gensler, U.S. [read post]
28 Jul 2022, 12:15 am
The four requirements are: sales of securities are limited to no more than 35 unaccredited investors, including those located outside California, each investor is required to have a pre-existing business or personal relationship with the issuer of the securities, or, in the alternative, can be demonstrated to be a sophisticated investor, advertising of the securities is prohibited, and at the time of purchase, the… [read post]
26 Jul 2022, 9:01 pm
For those of you who haven’t yet memorized it, the agency’s mission comprises investor protection, capital formation, and the maintenance of fair, orderly, and efficient markets.[3] To begin with investor protection, which is a core function of the Division of Investment Management, what matters to investors most is protecting and growing their treasure. [read post]
25 Jul 2022, 9:01 pm
Such relief directly protects investors and market integrity by preventing a violator of the securities laws from engaging in future misconduct and occupying a core gatekeeper role in the securities markets. [read post]
25 Jul 2022, 6:56 am
GWG Holdings, Inc., which stopped making interest and maturity payments to GWG L Bond investors in January 2022, filed for bankruptcy protection earlier this year, on April 20, 2022. [read post]
22 Jul 2022, 7:00 am
The North American Securities Administrators Association (NASAA) is an international securities-regulatory organization seeking to protect investors and promote capital markets for the benefit of all investors. [read post]
22 Jul 2022, 5:07 am
Few pieces of wide-ranging legislation come together so quickly as did the Sarbanes-Oxley Act, but when Congress senses a felt need, it can move with surprising speed.The SEC Historical Society today presented a panel titled The Sarbanes-Oxley Act at 20: A Corporate Governance Legacy featuring many of the key players at the SEC who implemented the Congressional mandate on corporate governance meant to reassure investors that public company financial statements could again… [read post]
22 Jul 2022, 3:39 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
21 Jul 2022, 6:31 am
The Commission proposed far-reaching changes intended to enhance investor protections and align disclosure and liability rules in de-SPACs more closely with those in traditional IPOs. [read post]
