Search for: "Securities Investor Protection Corporation"
Results 1201 - 1220
of 4,476
Sort by Relevance
|
Sort by Date
8 Dec 2020, 12:44 pm
Magill recommended the principal-protected note to three investors, who invested a total of $7000,000. [read post]
6 Dec 2020, 2:37 pm
For example, in an April 8, 2020 statement from Clayton and SEC Division of Corporate Finance Director William Hinman, the Commission emphasized the importance of full and robust disclosures to investors, precisely because of the disruption that the pandemic outbreak represents. [read post]
5 Dec 2020, 12:44 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois. [read post]
4 Dec 2020, 3:00 am
This excerpt from the SEC’s press release explains the decision: Designating FinHub as a stand-alone office strengthens the SEC’s ability to continue fostering innovation in emerging technologies in our markets consistent with investor protection. [read post]
2 Dec 2020, 11:01 am
Just as it would be outrageous for Safeway to tell Campbell’s whom they must hire — as if Safeway knows the best way to make soup — or to get involved with any other ordinary aspect of corporate governance, it would also be outrageous for a stock exchange to tell a firm how to operate, beyond the sorts of investor protections noted above, to maintain a listing on the exchange. [read post]
2 Dec 2020, 3:00 am
The Amendment adds additional investor protections by mandating that investors have access to the current and publicly available information of issuers whose securities trade on the OTC markets, and it further requires broker-dealers to confirm that certain information about the issuer and its security is current and publicly available before quoting that security. [read post]
1 Dec 2020, 8:39 am
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]
30 Nov 2020, 2:22 pm
On the other hand, some investor champions viewed the proposal as a threat to the existing investor protection mechanisms. [read post]
30 Nov 2020, 2:22 pm
On the other hand, some investor champions viewed the proposal as a threat to the existing investor protection mechanisms. [read post]
29 Nov 2020, 12:55 pm
The complaint, a copy of which can be found here, purports to be filed on behalf of a class of investors who purchased Raytheon securities between February 10, 2016 and October 27, 2020. [read post]
26 Nov 2020, 6:00 am
More than $850 million has been or is scheduled to be, returned to harmed investors. [read post]
25 Nov 2020, 3:00 pm
In contrast, the Biden administration would likely increase regulations related to corporate social responsibility to protect investors. [read post]
24 Nov 2020, 11:48 am
On the other hand, some investor champions viewed the proposal as a threat to the existing investor protection mechanisms. [read post]
23 Nov 2020, 2:09 pm
” Following the offering, investor plaintiffs filed a class action on behalf of investors who purchased Uber shares in the companies IPO in California (San Francisco County) Superior Court alleging violations of Sections 11, 12 and 15 of the Securities Act of 1933. [read post]
20 Nov 2020, 3:23 pm
Consistent with that theme, many governments are paying more attention to the national security implications of corporate transactions involving foreign investors (e.g. the Huawei/5G network debate). [read post]
20 Nov 2020, 9:47 am
PFAS are used in hundreds of products around the world including stain protectant, cookware, and aqueous firefighting foam. [read post]
20 Nov 2020, 6:00 am
Securities and Exchange Commission, on Wednesday, November 18, 2020 Tags: Asset management, Capital formation, Compliance and disclosure interpretation, COVID-19, Diversity, Engagement, Form CRS, Institutional Investors, Investor protection, Retail investors, SEC, Securities enforcement, Securities regulation Revealing ESG in Critical Audit Matters Posted by J. [read post]
20 Nov 2020, 3:00 am
Trump fired Christopher Krebs, who headed the Cybersecurity and Infrastructure Security Agency and led successful efforts to help state and local election offices protect their systems and to rebut misinformation. [read post]
19 Nov 2020, 2:37 pm
While these cases are not geared towards protecting employees or making them whole, they can offer an incentive for corporations to address sexual harassment before it becomes a scandal. [read post]
17 Nov 2020, 9:26 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 Franklin, Tennessee. [read post]
