Search for: "Securities Investor Protection Corporation"
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12 Mar 2013, 7:15 pm
The Committee will also examine the services provided by proxy advisory firms to shareholders and issuers to determine whether conflicts of interest exist.The Committee will continue to monitor the effect that the Sarbanes-Oxley Act of 2002 has on the capital markets and capital formation; the impact of the permanent exemption from Section 404(b) for public companies with less than $75 million in market capitalization; and 6 proposals to further modify this exemption.The Committee will review… [read post]
5 Jun 2020, 6:05 am
Morris, Barr Law Group, on Saturday, May 30, 2020 Tags: Agency costs, Boards of Directors, Investment Company Act, Investor protection, Mutual funds, Negotiation, Retirement plans, Securities litigation, Securities regulation, U.S. federal courts COVID-19: Due Diligence Considerations for M&A Transactions Posted by Thomas W. [read post]
26 Feb 2016, 6:06 am
Securities & Exchange Commission, on Tuesday, February 23, 2016 Tags: Asset management, Broker-dealers, Capital markets, Compliance and disclosure interpretation, Crowdfunding,Disclosure, Dodd-Frank Act, Equity capital, Executive Compensation, Financial Regulation, Investor protection, JOBS Act,SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities Regulation, Transparency What the 2016 BlackRock Letter Means for Shareholder… [read post]
11 Jul 2018, 8:25 am
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]
6 Jan 2016, 7:54 am
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]
14 Jul 2020, 2:32 pm
May 27, 2020) (per curiam), the plaintiffs alleged that the company told investors that its surgical gowns were highly-rated for their protectiveness, but in fact the gowns had failed numerous quality control tests. [read post]
13 Mar 2020, 6:31 am
Securities and Exchange Commission, on Saturday, March 7, 2020 Tags: Capital formation, Crowdfunding, Equity offerings, Investor protection, Private firms, SEC, SEC rulemaking, Securities regulation, Venture capital firms Statement by Chairman Clayton on Harmonizing, Simplifying and Improving the Exempt Offering Framework Posted by Jay Clayton, U.S. [read post]
26 Jun 2010, 4:59 pm
Protects Investors: Provides tough new rules for transparency and accountability for credit rating agencies to protect investors and businesses. [read post]
4 Oct 2010, 8:05 pm
Recently, Chairman Chen Gongyan met with IOSCO officials to promote the international forum of securities investor protection organizations.SIPC’s records show that it has entered into Memoranda of Understanding with a number of foreign regulators, including the UK Financial Services Compensation Board, the Canadian Investor Protection Fund, and the China Securities Investor Protection Fund Company. [read post]
11 Mar 2012, 8:08 am
The Commission’s core mission is to protect investors. [read post]
23 Jan 2018, 7:15 am
Investors are protected against fraudulent securities activities by several different civil laws. [read post]
26 Sep 2016, 3:45 am
I understand that you may be the only securities lawyer without a customary qualification? [read post]
19 Jan 2011, 11:22 am
The consequences of this corporate code of silence for investors in publicly traded companies, in particular, and for the stock market, in general, are serious and adverse, and they must be remedied. [read post]
4 Oct 2011, 5:09 am
The central goal of the Securities and Exchange Commission is to facilitate companies’ access to capital while at the same time protecting investors. [read post]
27 Oct 2022, 6:32 am
The implementation of the SEC’s requirements—combined with constant pressure from investors and other key stakeholders to align executive pay with corporate performance—are compelling companies to begin the preparation of their proxy statements much earlier than usual. [read post]
7 Jan 2015, 8:00 am
We have decades of experience in securities litigation matters, including the defense of enforcement actions and representation of investors, financial professionals and investment firms, nationwide. [read post]
29 Apr 2020, 2:53 pm
See “Guest Post: Avoiding Event Driven Litigation through Good Cybersecurity Governance,” and “Corporate Mismanagement Becomes Event-Driven Securities Litigation. [read post]
1 Nov 2018, 3:02 pm
As Justice Ginsburg said in the ANZ Securities dissent, plaintiffs have an incentive to file a protective opt-out action. [read post]
10 Jun 2015, 11:51 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
17 Mar 2023, 9:54 am
When President Biden announced the rescue of Silicon Valley Bank depositors, he emphasized that "investors in the banks will not be protected. [read post]
