Search for: "Securities Investor Protection Corporation"
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11 Apr 2021, 2:44 pm
ESG investing has been among the SEC’s priorities in 2021 and just this past Friday the Commission said that some businesses promoting ESG were potentially misleading investors having not adhered to global ESG frameworks or otherwise incorrectly pursuing those strategies from climate change to corporate diversity. [read post]
9 Apr 2021, 7:02 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. [read post]
9 Apr 2021, 6:19 am
Taylor (The Wharton School), Bradford Lynch (The Wharton School), and David Larcker (Stanford University), on Friday, April 2, 2021 Tags: Disclosure, EDGAR, Rule 10b-5-1, Rule 144, SEC, SEC enforcement, Securities enforcement, Securities regulation What Boards Need to Know About Shareholder Activism Posted by Steve Klemash and David Hunker, EY, on Saturday, April 3, 2021 Tags: Boards of… [read post]
6 Apr 2021, 3:00 am
The situation may have put the company at risk of running afoul of US securities law by wading into the murky waters of potentially misleading investors. [read post]
2 Apr 2021, 9:30 am
While protecting investors from fraud and deceptive practices in the issuance and trading of public securities can be seen as a compelling government interest, the same cannot be said for mandating ESG disclosure, Morrisey asserted. [read post]
2 Apr 2021, 5:59 am
The Long-Term Effects of Short Selling and Negative Activism Posted by Peter Molk (University of Florida) and Frank Partnoy (University of California Berkeley), on Friday, March 26, 2021 Tags: GameStop, Hedge funds, Institutional Investors, Long-Term value, Shareholder activism, Short sales, Short-termism Board Refreshment Posted by Maria Castañón Moats, Paul DeNicola, and Leah Malone, PricewaterhouseCoopers LLP, on Friday,… [read post]
1 Apr 2021, 8:44 am
Securities and Exchange Commission is inquiring into a newly popular alternative for going public comes as payments firms increasingly turn to the method in lieu of a traditional public offering. [read post]
1 Apr 2021, 7:40 am
The DOL explained the rules appeared inconsistent with Executive Order 13990, “Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis,” and, practically, the DOL had heard “from stakeholders that the rules, and investor confusion about the rules, have already had a chilling effect on appropriate integration of ESG factors in investment decisions. [read post]
1 Apr 2021, 5:00 am
Side D protects costs associated with internal investigations as a response to a shareholder derivative claim. [read post]
31 Mar 2021, 1:09 pm
According to the SEC, “all payments are made out of an investor protection fund established by Congress that is financed entirely through monetary sanctions paid to the SEC by securities law violators. [read post]
31 Mar 2021, 10:04 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. [read post]
31 Mar 2021, 3:02 am
And while protecting investors from fraud and deceptive practices in the issuance and trading of public securities will likely be held to be a compelling government interest, it is highly unlikely courts will find requiring statements of the kind you propose to directly and substantially serve that end. [read post]
28 Mar 2021, 11:15 am
III (“Churchill III”) is a Special Purpose Acquisition Corporation (SPAC) that completed an IPO on February 14, 2020. [read post]
26 Mar 2021, 8:27 am
The work is reproduced and distributed with the permission of The MITRE Corporation.). [read post]
26 Mar 2021, 5:01 am
The Biden administration stated that it would continue to investigate and take action against Chinese technology companies to protect the “security of American companies, American workers, and U.S. national security. [read post]
24 Mar 2021, 5:18 am
This customer dispute also alleges that Michael Anthony Fahsholtz supposedly violated both the Washington Consumer Protection Act and the Securities Act if Washington. [read post]
24 Mar 2021, 5:18 am
This customer dispute also alleges that Michael Anthony Fahsholtz supposedly violated both the Washington Consumer Protection Act and the Securities Act if Washington. [read post]
19 Mar 2021, 3:00 am
That raises the question – how are companies getting the impact of the pandemic across to investors? [read post]
18 Mar 2021, 7:27 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. [read post]
17 Mar 2021, 10:46 am
Given the importance of ESG issues to the modern-day investor and the SEC’s position that disclosures about these issues are material to investor decision-making,[17] it is a matter of time before we see SEC reporting requirements on ESG issues and related enforcement activity. [read post]
