Search for: "Securities Investor Protection Corporation"
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8 May 2014, 9:00 am
Clement notes that the CFIUS structure is set up strangely, expecting corporations to be proactive rather than reactive. [read post]
24 Oct 2017, 10:58 am
These hypothetical models assumed certain quantities of capital, market conditions, and investor behavior. [read post]
8 Dec 2023, 9:35 am
We are using the full force of the law to protect investors. [read post]
10 Feb 2012, 1:25 pm
Inc. and its subsidiary Morgan Stanley Smith Barney LLC were fined $1 million by FINRA for excessive markups and markdowns in corporate and municipal bond transactions. [read post]
30 May 2013, 2:35 pm
Securities and Exchange Commission (“SEC”) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. [read post]
24 Jul 2023, 3:58 am
This helps attract potential investors, licensing partners and acquirers looking to further monetize and scale up your brand equity. [read post]
26 Jun 2019, 11:05 am
Moskowitz has played a key leadership role and provided legal, policy, and strategic advice to the Chairman and Commission staff on the development of policies and rules designed to, among other things: (1) promote capital formation, particularly for small and emerging companies, through tailored regulation that preserves important investor protections and expands investment opportunities for retail investors in the public and private capital markets; (2) promote effective… [read post]
12 Jul 2020, 6:07 pm
Travis Laster’s ruling that state corporation law prohibits companies from adopting federal forum selection provisions for Securities Act litigation. [read post]
5 Feb 2021, 6:01 am
Rudolph, FTI Consulting, on Tuesday, February 2, 2021 Tags: Delaware law, DOJ, Foreign firms, Institutional Investors, International governance, OFAC, Securities regulation The Ethics of Diversity Posted by Deborah Gilshan, The 100% Club, on Wednesday, February 3, 2021 Tags: Board composition, Boards of Directors, Diversity, ESG, International governance, Stakeholders, UK Corporate… [read post]
11 Jun 2024, 9:01 pm
It protects investors and reduces the cost of capital. [read post]
14 Jan 2022, 3:47 pm
. and were likely to impact individual investors and the market. [read post]
17 Jan 2020, 5:54 am
Securities and Exchange Commission, on Wednesday, January 15, 2020 Tags: Asset management, Capital markets, Diversity, Institutional Investors, Investor protection, Retail investors, SEC, Securities regulation Embracing the New Paradigm Posted by Martin Lipton, Wachtell, Lipton, Rosen & Katz, on Thursday, January 16, 2020 Tags: Accountability, Boards of… [read post]
8 Dec 2011, 3:00 am
(S.D.N.Y. 2011), was a securities class action brought on behalf of investors who bought shares of China Expert Technology, Inc in 2006 and 2007. [read post]
21 Apr 2017, 6:25 am
Schipani, University of Michigan, on Sunday, April 16, 2017 Tags: Accounting, Agency costs, Board independence, Boards of Directors, Class actions, Corporate fraud, Disclosure, External auditors, Investor protection, Management, Outside directors, Oversight, Sarbanes–Oxley Act, Securities enforcement, Securities fraud, Securities regulation, SOX From Boardroom to C-Suite: Why Would a Company Pick a Current Director as CEO? [read post]
21 Apr 2017, 6:25 am
Schipani, University of Michigan, on Sunday, April 16, 2017 Tags: Accounting, Agency costs, Board independence, Boards of Directors, Class actions, Corporate fraud, Disclosure, External auditors, Investor protection, Management, Outside directors, Oversight, Sarbanes–Oxley Act, Securities enforcement, Securities fraud, Securities regulation, SOX From Boardroom to C-Suite: Why Would a Company Pick a Current Director as CEO? [read post]
16 May 2019, 8:27 am
Because the fake CD’s were issued by a foreign bank, investors are not covered under the Securities Investor Protection Corporation (SIPC), which gives compensation for cash and securities that are lost in the event that a brokerage firm fails. [read post]
5 Nov 2010, 9:04 am
Federal registration process involves filing form BD with the SEC, becoming a member of a self-regulatory organization (such as FINRA or a registered national securities exchange), becoming a member of the Securities Investor Protection Corporation and complying with all applicable state requirements. [read post]
5 Oct 2017, 7:05 pm
The circular notes that qualified firms operating in the Sandbox must have sufficient measures in place to protect investors from actual or potential risks. [read post]
10 Aug 2015, 9:01 pm
There is no need to find new “investors” to make Social Security work. [read post]
19 Jan 2017, 11:14 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
