Search for: "Securities Investor Protection Corporation"
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31 Jan 2022, 6:02 am
This allows for a better understanding of SPACs’ economic substance and more clearly identifies gaps in investor protection compared to IPOs. [read post]
28 Jan 2022, 11:50 am
In addition to selling thousands of MSGs that didn’t even exist, the defendants paid prior investors using funds from newer investors, then laundered their ill-gotten gains. [read post]
28 Jan 2022, 7:21 am
At heart this is a disclosure regime, and investors need to have a true picture of what is going on at a firm. [read post]
28 Jan 2022, 5:47 am
Securities and Exchange Commission, on Thursday, January 27, 2022 Tags: Disclosure, Financial crisis, Financial reporting, Form PF, Hedge funds, Investor protection, Private funds, SEC, Securities regulation, Systemic risk [read post]
27 Jan 2022, 10:33 am
Panelists included four former SEC officials: MaryJo White (chair), Troy Paredes (Commissioner), Bill Hinman (director of Division of Corporation Finance), and Stephanie Avakian (co-director of Enforcement).Cybersecurity. [read post]
27 Jan 2022, 9:00 am
On November 15, 2021, the Securities and Exchange Commission (SEC) released its annual report highlighting the success of its Whistleblower Program. [read post]
25 Jan 2022, 2:30 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]
24 Jan 2022, 1:24 pm
The case is one in a lengthening series, all involving class actions in which employees challenge the actions of corporate insiders managing defined-contribution plans governed by the Employee Retirement Income Security Act. [read post]
21 Jan 2022, 7:28 am
But enforcement of the algorithm regulation could invite conflict between regulators and tech companies, as it remains unclear what level of access the government can demand to these valuable and protected assets. [read post]
21 Jan 2022, 7:07 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]
21 Jan 2022, 6:28 am
Securities and Exchange Commission, on Thursday, January 20, 2022 Tags: Artificial intelligence, Capital markets, Financial technology, Hedge funds, Institutional Investors, Investor protection, SEC, Securities regulation [read post]
20 Jan 2022, 12:16 pm
-listed corporations by claiming fraud on the market. [read post]
19 Jan 2022, 1:06 pm
As I noted in a prior post (here), earlier this month, a plaintiff investor filed a securities class action lawsuit against Talis Biomedical Corporation, a company that, like NRx, had sought an emergency use authorization for a developmental stage COVID-19-related product. [read post]
18 Jan 2022, 1:55 pm
” The defendants moved to dismiss the plaintiff’s amended complaint, contending that none of the statements on which the plaintiff relies are false or misleading; some of them are protected by the safe harbor; some are opinions or corporate puffery; that the plaintiff had not adequately alleged scienter; and that the two supposed corrective disclosure cannot be relied upon. [read post]
17 Jan 2022, 12:12 pm
It was built to democratize access to security protections for solo lawyers and small to mid-sized firms, so they can advance their security practices without the headaches, expenses and complexities. [read post]
16 Jan 2022, 12:26 pm
(Michael Nagle, Bloomberg Law; Securities and Exchange Commission). [read post]
14 Jan 2022, 3:47 pm
. and were likely to impact individual investors and the market. [read post]
10 Jan 2022, 9:44 am
They are failing to properly supervise the company’s leadership and protect the investors’ interests. [read post]
10 Jan 2022, 2:04 am
Secured debts can be discharged. [read post]
9 Jan 2022, 6:42 am
A copy of the new securities lawsuit against Bright Health Group can be found here and a copy of the new securities suit against Talis Biomedical Corporation can be found here. [read post]
