Search for: "Securities Investor Protection Corporation"
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11 Sep 2020, 6:14 am
Norwitz, Wachtell, Lipton, Rosen & Katz, on Wednesday, September 9, 2020 Tags: DOL, Engagement, ERISA, ESG, Fiduciary duties, Proxy advisors, Securities regulation, Shareholder voting Comment on the Proposed DOL Rule Posted by Brian Tomlinson (CECP), on Wednesday, September 9, 2020 Tags: DOL, ERISA, ESG, Firm performance, Institutional Investors, Long-Term value, Retirement… [read post]
7 Jun 2021, 5:58 am
House Committee on Financial Services will hold a hearing regarding SPACs, direct listings, public offerings and investor protections associated with these offerings. [read post]
30 Sep 2020, 10:55 am
To further protect the issuer from claims of fraudulent sales, an issuer may also give prospective investors access to key corporate documents and source material to back up the information in the PPM. [read post]
7 Jul 2020, 10:55 am
To further protect the issuer from claims of fraudulent sales, an issuer may also give prospective investors access to key corporate documents and source material to back up the information in the PPM. [read post]
13 Dec 2009, 6:26 am
We will continue to keep you apprised of relevant developments concerning the Morrison case and the Investor Protection Act. [read post]
28 Jun 2012, 9:42 am
Whether a traditional broker or fee only advisor, the financial professional works for, or at least purchases securities through, a corporation called a broker-dealer. [read post]
4 Oct 2019, 6:00 am
Securities and Exchange Commission, on Friday, September 27, 2019 Tags: Broker-dealers, Disclosure, Exchange-traded funds, OTC derivatives, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation Analysis of IAC Recommendations to Improve U.S. [read post]
21 Jun 2022, 6:30 am
In remarks on March 5, 2022 on PLI’s Corporate Governance webcast, Commissioner Allison Herren Lee of the Securities and Exchange Commission stated that, 20 years after its enactment, it is time to revisit the “unfulfilled mandate” of Section 307 of the Sarbanes-Oxley Act of 2002 and establish minimum standards for lawyers practicing before the Commission. [1] Commissioner Lee, who announced that she will not seek a second term when her current one ends this… [read post]
21 Jun 2022, 6:30 am
In remarks on March 5, 2022 on PLI’s Corporate Governance webcast, Commissioner Allison Herren Lee of the Securities and Exchange Commission stated that, 20 years after its enactment, it is time to revisit the “unfulfilled mandate” of Section 307 of the Sarbanes-Oxley Act of 2002 and establish minimum standards for lawyers practicing before the Commission. [1] Commissioner Lee, who announced that she will not seek a second term when her current one ends this… [read post]
24 Oct 2019, 6:07 am
Roisman, Commissioner c/o Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: File No. 4-725 Proxy Advisor Regulation Dear Commissioners: The Council of Institutional Investors and the undersigned coalition of investors writes to express concern that the Securities and Exchange Commission (the “Commission” or the “SEC”) has embarked on a series of actions that we believe may reduce investor participation in… [read post]
7 Feb 2020, 6:00 am
Rosenberg, Fried, Frank, Harris, Shriver & Jacobson LLP, on Sunday, February 2, 2020 Tags: Broker-dealers, Cybersecurity, Duty of care, Financial technology, Investor protection, OCIE, Retail investors, Risk management, SEC, Securities regulation Speech by Commissioner Elad Roisman on Myths and Realities: Modernizing the Proxy Rules Posted by Elad L. [read post]
22 Apr 2016, 6:06 am
Eisenberg, K&L Gates LLP, on Monday, April 18, 2016 Tags: Broker-dealers, Disgorgement, Investment advisers, Investor protection, Misconduct, SEC, SEC enforcement, SEC investigations, Securities damages, Securities enforcement, Securities Regulation, Whistleblowers M&A Agreements and the Challenges of PRC Acquirors Posted by Ethan A. [read post]
1 Nov 2018, 12:24 pm
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]
2 May 2008, 10:45 am
Financial Guaranty provides bond insurance that protects investors against securities defaults. [read post]
26 Oct 2010, 10:37 am
Filed under: corporate governance [read post]
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 2010, 4:44 am
Auditors will benefit from clear rules that will protect them from liability for non-violative conduct. [read post]
14 Jul 2018, 7:11 am
Kimber Chair in Investor Protection and Corporate Governance at University of Toronto Faculty of Law. [read post]
12 Apr 2024, 11:27 am
Lincoln Financial Advisors Corporation and Lincoln Financial Securities Corporation agreed to pay an $8.5 million penalty. [read post]
19 Jul 2016, 2:42 pm
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]
