Search for: "Securities Investor Protection Corporation"
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1 Jul 2009, 9:11 am
The brokerage industry-funded Securities Investor Protection Corporation, established by Congress in 1970 to help swindled investors, said in a statement that the amount exceeded its previous 11 largest liquidations. [read post]
20 Jan 2022, 12:16 pm
-listed corporations by claiming fraud on the market. [read post]
20 Feb 2024, 11:40 am
Most recently, the SEC has doled out a new proposed climate disclosure rule, intended to create consistent reporting guidelines for publicly traded companies, curb corporate greenwashing, and protect investors. [read post]
24 Jan 2017, 6:50 am
Diversification does not guarantee a profit or protection against loss. [read post]
19 Apr 2023, 6:34 am
This “will give state securities regulators visibility into shareholder proposals that pose potential investor protection risks,” said Bill Beatty, Chair of NASAA’s Corporation Finance Section.Model rule. [read post]
16 Feb 2018, 6:21 am
Fox (Columbia Law School), on Friday, February 9, 2018 Tags: Adverse selection, Capital formation, Crowdfunding, Disclosure, Equity offerings, FAST Act, Investor protection, IPOs, JOBS Act, Liquidity, Registration exemptions, SEC, Securities regulation, Small firms, Solicitation The Enduring Allure and Perennial Pitfalls of Earnouts Posted by Gail Weinstein, Robert C. [read post]
11 Jun 2021, 6:08 am
Securities and Exchange Commission, on Wednesday, June 9, 2021 Tags: Disclosure, Information asymmetries, Inside information, Insider trading, Investor protection, Rule 10b-5, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation Private Sector Implications of Biden’s Executive Order on Climate-Related Financial Risk Posted by Margaret E. [read post]
16 Jun 2017, 6:19 am
Breaking the Ice: Investors Warm to Climate Change Posted by Nick Dawson, Proxy Insight, on Friday, June 9, 2017 Tags: BlackRock, Climate change, Environmental disclosure, ESG, Fiduciary duties, Institutional Investors, Shareholder activism, Shareholder proposals, Shareholder voting Corporate Governance of SIFI Risk-Taking: An International Research Agenda Posted by Steven L. [read post]
11 Sep 2012, 1:36 am
For instance, Regulation S-K and Form 20-F of the Securities Act of 1933 require public companies to disclose “risk factors” that would be relevant to a prospective investor. [read post]
19 Jul 2019, 5:57 am
Securities and Exchange Commission, on Tuesday, July 16, 2019 Tags: Capital formation, Equity offerings, Investor protection, Opportunity Zones, Retail investors, SEC, Securities regulation, Small firms Staff Statement on LIBOR Transition Posted by William H. [read post]
16 Mar 2023, 1:36 pm
The program has allowed the agency to collect over $6.3 billion from fraudsters and return over $1.5 billion to harmed investors. [read post]
28 Mar 2012, 12:33 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 Boca Raton, Florida. [read post]
28 Sep 2016, 11:44 am
“The Commission has taken an important step today toward enhancing investor protection and ensuring that clearing agencies continue to be subject to effective regulations that appropriately address the risks they pose to the financial system. [read post]
28 Jul 2023, 12:15 am
In April, I reported on SB 54 (Skinner), a bill that would have required institutional Investors, securities and real estate brokers, and others to report on the diversity status of "founding teams". [read post]
9 Oct 2018, 2:18 pm
Shulga is the co-founder of Ross & Shulga PLLC, a New York-based boutique law firm specializing in advising individual and corporate clients on aspects of corporate and securities law. [read post]
6 Feb 2012, 5:07 pm
It settles cases without extracting admissions of wrongdoing, and, according to the Times' most recent front-page piece of criticism last Friday, it too often has "waived" certain penalties designed to protect investors against fraud. [read post]
2 Dec 2010, 10:59 am
The Act imposes a number of new requirements on corporations that are designed to prevent fraud and protect employees and investors, while also holding those who commit the violations criminally and civilly liable. [read post]
23 Oct 2008, 6:42 pm
We also represent several corporations which purchased CDO Auction Rate Securities through indicted Credit Suisse brokers Julian Tzolov and Eric Butler. [read post]
14 Dec 2022, 5:12 am
Moreover, the CFTC said that Alameda used computer code to step ahead of other FTX investors and secure “an unfair advantage” on the platform. [read post]
29 Jan 2021, 8:04 am
"On Twitter, Tlaib lambasted Robinhood for instituting the trading halt in the name of protecting investors, saying that the House Financial Services Committee needs to look into the matter. [read post]
