Search for: "Securities Investor Protection Corporation"
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1 Jul 2022, 1:57 pm
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne P [read post]
1 Jul 2022, 6:30 am
Farrar, Sullivan & Cromwell LLP, on Tuesday, June 28, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC rulemaking, Securities regulation, Sustainability The High Impact Behaviors of the Most Effective Directors Posted by Rusty O’Kelley, Rich Fields, and Laura Sanderson, Russell Reynolds Associates, on Tuesday, June 28, 2022 Tags: Board dynamics, Board evaluation, Board… [read post]
1 Jul 2022, 6:30 am
Farrar, Sullivan & Cromwell LLP, on Tuesday, June 28, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC rulemaking, Securities regulation, Sustainability The High Impact Behaviors of the Most Effective Directors Posted by Rusty O’Kelley, Rich Fields, and Laura Sanderson, Russell Reynolds Associates, on Tuesday, June 28, 2022 Tags: Board dynamics, Board evaluation, Board… [read post]
30 Jun 2022, 4:02 pm
This Office will continue to prioritize securities fraud prosecutions. [read post]
30 Jun 2022, 8:15 am
It clarified the interrelationship between the right to effective remedy, access to effective remedy, access to justice, and corporate accountability. [read post]
30 Jun 2022, 3:30 am
” The authors argue that the SEC’s authority is somewhat more limited and contends that courts have construed this “in the public interest” language more narrowly & by reference to the objective of protecting investors. [read post]
29 Jun 2022, 2:22 pm
I do not therefore think a UN human rights treaty-making initiative can self-consciously aim from the outset to exclude many billions of people, across industrialised and industrialising countries, from the ambit of its protection, or deem this an acceptable end-point. [read post]
28 Jun 2022, 6:41 am
These important disclosures will protect investors in those securities and help promote efficiency, competition, and capital formation. [read post]
28 Jun 2022, 6:41 am
These important disclosures will protect investors in those securities and help promote efficiency, competition, and capital formation. [read post]
26 Jun 2022, 12:28 am
But as a tenured law professor, I have more time, freedom, and security than many of my legal profession peers. [read post]
24 Jun 2022, 6:26 am
Cunningham (George Washington University), on Thursday, June 23, 2022 Tags: Climate change, Disclosure, Environmental disclosure, ESG, Institutional Investors, Investor protection, SEC, SEC rulemaking, Securities regulation, Sustainability Statement by Commissioner Peirce on the Regulatory Flexibility Agenda Posted by Hester M. [read post]
24 Jun 2022, 6:26 am
Cunningham (George Washington University), on Thursday, June 23, 2022 Tags: Climate change, Disclosure, Environmental disclosure, ESG, Institutional Investors, Investor protection, SEC, SEC rulemaking, Securities regulation, Sustainability Statement by Commissioner Peirce on the Regulatory Flexibility Agenda Posted by Hester M. [read post]
22 Jun 2022, 9:05 pm
The Securities and Exchange Commission (“SEC”) has signaled that it wants to increase enforcement against “greenwashing” – misrepresentation of a company’s environmental actions. [read post]
22 Jun 2022, 9:01 pm
Consumer Protection Standards The bill also proposes adding consumer protection standards for digital assets. [read post]
21 Jun 2022, 6:30 am
In remarks on March 5, 2022 on PLI’s Corporate Governance webcast, Commissioner Allison Herren Lee of the Securities and Exchange Commission stated that, 20 years after its enactment, it is time to revisit the “unfulfilled mandate” of Section 307 of the Sarbanes-Oxley Act of 2002 and establish minimum standards for lawyers practicing before the Commission. [1] Commissioner Lee, who announced that she will not seek a second term when her current one ends this… [read post]
21 Jun 2022, 6:30 am
In remarks on March 5, 2022 on PLI’s Corporate Governance webcast, Commissioner Allison Herren Lee of the Securities and Exchange Commission stated that, 20 years after its enactment, it is time to revisit the “unfulfilled mandate” of Section 307 of the Sarbanes-Oxley Act of 2002 and establish minimum standards for lawyers practicing before the Commission. [1] Commissioner Lee, who announced that she will not seek a second term when her current one ends this… [read post]
21 Jun 2022, 4:24 am
JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration (BrokeAndBroker.com Blog)Former Head of Corporate Communications of $21 Billion Biopharmaceutical Company Admits Insider Trading (DOJ Release)Federal Indictment Charges CPA With Securities Fraud / More than 19 investors at or near retirement age lost over $3.6 million (DOJ Release)Rip Current Rulemakings: Statement on the Regulatory Flexibility Agenda by SEC Commissioner Hester M.… [read post]
20 Jun 2022, 12:55 pm
Silver Law Group represents several investors who purchased GWG L Bonds through brokerage firm Newbridge Securities. [read post]
20 Jun 2022, 5:55 am
It should be noted that the KryptoFAV is limited to units in investment funds in contractual form and does not cover any shares in investment funds in corporate form. [read post]
17 Jun 2022, 6:27 am
Securities and Exchange Commission, on Thursday, June 16, 2022 Tags: Asset management, Index funds, Institutional Investors, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation [read post]
