Search for: "Securities Investor Protection Corporation"
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19 Jan 2007, 7:07 am
Calpine has been under bankruptcy protection since December 2005. [read post]
14 Jan 2019, 12:01 pm
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 Vero Beach, Florida. [read post]
22 Jun 2018, 6:01 am
Securities & Exchange Commission, on Tuesday, June 19, 2018 Tags: Accountability, Banks, Broker-dealers, Compliance & ethics, Corporate culture, Disclosure, Financial institutions, Financial regulation, Securities regulation Sandbagging in Delaware Posted by Daniel E. [read post]
5 Oct 2018, 5:52 am
McIntosh, Wachtell, Lipton, Rosen & Katz, on Friday, September 28, 2018 Tags: #MeToo, Accountability, Board composition, Boards of Directors, Compensation ratios, Corporate culture, Diversity, Human capital, Institutional Investors, Misconduct, Risk management, Shareholder activism, Shareholder voting On Elon Musk, Donald Trump, and Corporate Governance Posted by Alissa Amico, GOVERN,… [read post]
11 Mar 2015, 2:06 pm
Rule 15c3-3 is intended to protect customer funds and securities in the possession of broker-dealers. [read post]
21 Oct 2020, 11:44 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
3 Oct 2016, 3:58 am
Our China lawyers have been getting an influx of cases from investors and their lawyers seeking help in suing Chinese companies in U.S. courts for corporate governance violations. [read post]
28 Jul 2011, 12:49 pm
In its letter to the Commissioner, Pillsbury requested that the DOC amend the California custody rule in a manner that balances investor protection and the need for fund managers to maintain confidentiality of certain portfolio positions. [read post]
17 Mar 2015, 12:00 pm
Rather, disqualifications should be imposed against “entities or individuals whose misconduct suggests that they cannot be relied upon to conduct [certain capital markets activities] in compliance with the law and in a manner that will protect investors and our markets. [read post]
14 Jul 2011, 1:12 pm
Harvey Pitt -- who was Securities & Exchange Commission chair during a time when the SEC let Wall Street run wild, leading to the financial mess the U.S. is in, and who has spent most of career representing corporate interests – once again fails to get it right.Testifying before the Senate Banking Committee on “Enhanced Investor Protection After the Financial Crisis”, Pitt criticized Dodd-Frank saying it would fail to protect… [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]
15 Nov 2022, 6:32 am
Related research from the Program on Corporate Governance includes The Untenable Case for Keeping Investors in the Dark (discussed on the Forum here) by Lucian Bebchuk, Robert J. [read post]
15 Nov 2022, 6:32 am
Related research from the Program on Corporate Governance includes The Untenable Case for Keeping Investors in the Dark (discussed on the Forum here) by Lucian Bebchuk, Robert J. [read post]
7 Jul 2016, 6:34 am
While sophisticated investors in U.S. companies often negotiate protections against future securities issuances in certain situations, the specter of limited authorized capital serves as an ultimate cap on a company’s ability to issue any securities without the investors’ consent.In light of this company favorable statute, many investors in Canadian companies negotiate for protective provisions giving them greater control… [read post]
3 Feb 2017, 6:04 am
Securities and Exchange Commission, on Monday, January 30, 2017 Tags: Broker-dealers, Capital formation, Disclosure, Dodd-Frank Act, Financial regulation, Financial technology, Investor protection, JOBS Act, SEC, SEC enforcement, Securities enforcement, Securities regulation The Common Law Corporation: The Power of the Trust in Anglo-American Business History Posted by John D. [read post]
16 Dec 2014, 10:50 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 Vero Beach, Florida. [read post]
7 Jul 2020, 6:19 am
Silver Law Group also serves as counsel to corporate monitors and securities receivers. [read post]
21 Oct 2016, 1:00 am
Langevoort, Georgetown University Law Center, on Thursday, October 20, 2016 Tags: Behavioral finance, Compliance & ethics, Disclosure, Diversity, Information environment, Insider trading, Investor protection, Market efficiency, Misconduct, Overconfidence, Securities regulation Voting Standards Are Not that Standard Posted by Daniel E. [read post]
12 Jan 2017, 7:20 am
The bill faced little drama beyond an attempt to add investor protection provisions via two amendments, which ultimately faltered by similar margins on separate recorded votes. [read post]
23 Aug 2021, 4:26 pm
The reporting follows below along with its source, the 30 July 2021 "Statement on Investor Protection Related to Recent Developments in China" of SEC Chair Gary Gensler.EXCLUSIVE SEC gives Chinese companies new requirements for U.S. [read post]
