Search for: "SECURITIES AND EXCHANGE COMMISSION v. SECURITIES INVESTOR PROTECTION CORPORATION"
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21 Jul 2017, 6:04 am
Securities and Exchange Commission, on Friday, July 14, 2017 Tags: Algorithmic trading, Capital formation, Capital markets, Dark pools, High-frequency trading, Information environment, Market efficiency, Private firms, SEC, SEC enforcement, Securities Act, Securities regulation, Transparency SEC Chairman Clayton on His Agenda Posted by Ning Chiu, Davis Polk & Wardwell LLP,… [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]
16 Mar 2023, 1:36 pm
On March 15, Senators Chuck Grassley (R-IA) and Elizabeth Warren (D-MA) introduced the SEC Whistleblower Reform Act of 2023 in order to further strengthen the highly successful Securities and Exchange Commission (SEC) Whistleblower Program. [read post]
29 Nov 2017, 4:23 pm
Securities and Exchange Commission, Governance and Transparency at the Commission and in Our Markets (Nov. 8, 2017), available here. [2] 2017 S.E.C. [read post]
1 Dec 2017, 2:55 pm
Securities and Exchange Commission, Governance and Transparency at the Commission and in Our Markets (Nov. 8, 2017), available here. [2] 2017 S.E.C. [read post]
16 Aug 2019, 6:00 am
Securities and Exchange Commission, on Friday, August 9, 2019 Tags: Capital formation, Innovation, Investor protection, IPOs, Public firms, SEC, SEC rulemaking, Securities enforcement, Securities regulation Finalized Volcker Rule Amendments Posted by V. [read post]
9 Aug 2017, 8:03 am
According to the court, the Commission order was arbitrary and capricious in that the agency did not make specific findings that the plan avoids undue burdens, protects investors and the public, and does not discriminate among interested parties. [read post]
21 Jun 2021, 3:30 am
Last week – by a single vote – the House passed the “Corporate Governance & Investor Protection Act. [read post]
28 Jan 2009, 9:40 am
Securities and Exchange Commission; Ms. [read post]
30 Aug 2011, 5:00 am
An access rule could be adopted "under such terms and conditions as the Commission determines are in the interests of shareholders and for the protection of investors. [read post]
27 Aug 2020, 8:16 am
Securities and Exchange Commission (SEC) is scheduled to meet at 9 a.m. on September 2 to vote on proposed changes to the agency’s highly successful whistleblower program. [read post]
3 Feb 2008, 10:42 pm
However, Bainbridge notes that active investor involvement in corporations would disturb the very essence of practicality: "centralization of essentially non-reviewable decision-making authority in the board. [read post]
16 Feb 2021, 2:23 pm
2020 was an eventful year in the world of corporate and securities litigation. [read post]
26 Jan 2011, 12:54 am
For investors in public companies, that trend underscores a need to increase vigilance over the terms of these transactions to ensure that shareholders’ interests are being protected. [read post]
20 Jan 2008, 10:15 am
To add salt to the investor's wound, Solicitor General Paul Clement at first sided with the Securities and Exchange Commission, who sided with investors, but changed his position and sided with the corporate thieves in response to pressure from the Bush administration. [read post]
18 Jul 2022, 2:46 pm
The potential proceedings demonstrate the increasingly creative means that activist investors and civil society organizations are exploring to encourage better corporate governance of listed companies, especially in the fossil fuel sector. [read post]
23 Mar 2010, 12:15 pm
Harkness subsequently hired Sally LaFond, an attorney that previously worked for the law firm that served as the company's outside securities counsel, to serve as Assistant General Counsel.In April of 2004, Fieldstone submitted its application to become a publicly-traded company with the Securities and Exchange Commission ("SEC") and adopted an internal Code of Business Conduct that closely followed the rules and regulations to which publicly-traded… [read post]
25 Apr 2024, 9:05 pm
, Securities and Exchange Commission v. [read post]
1 Feb 2019, 10:51 am
The deterrent effect of the Securities and Exchange Commission’s enforcement intensity on illegal insider trading: evidence from run-up before news events. [read post]
13 Mar 2020, 6:31 am
Securities and Exchange Commission, on Saturday, March 7, 2020 Tags: Capital formation, Crowdfunding, Equity offerings, Investor protection, Private firms, SEC, SEC rulemaking, Securities regulation, Venture capital firms Statement by Chairman Clayton on Harmonizing, Simplifying and Improving the Exempt Offering Framework Posted by Jay Clayton, U.S. [read post]
