Search for: "Securities Investor Protection Corporation"
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16 Sep 2021, 4:55 pm
In the available investor-State cases key issues which the tribunals tackle include corporate structuring and the relationship between SWFs and their home States. [read post]
12 Jul 2011, 1:49 pm
The first panel, "The First 100 Years: How We Got Here," will explore the evolution of the investor protection role of state securities regulation and how NASAA has adapted to the changing times. [read post]
12 May 2017, 12:21 pm
Diversification does not guarantee a profit or protection against loss. [read post]
25 Sep 2023, 9:03 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 Seattle, Washington. [read post]
20 Nov 2009, 1:11 pm
We've covered many of the more significant ones: click here to read about Congressman Paul Kanjorski's Investor Protection Act, Private Fund Investment Advisers Registration Act, and Federal Insurance Office Act; and click here to read about Senator Specter's Anti-Twombly Act and Anti-Stoneridge Act. [read post]
22 Jul 2010, 6:39 pm
Given recent debates over the size of the threat posed by cyberwar, I thought I’d mention the following simulation that was done by the RAND Corporation in 1999. [read post]
27 Apr 2018, 6:01 am
Securities and Exchange Commission, on Thursday, April 26, 2018 Tags: Broker-dealers, Capital formation, Capital markets, Conflicts of interest, Cybersecurity, Disclosure, Fiduciary duties, Investment advisers, Investor protection, Risk management, SEC, Securities regulation [read post]
17 Jun 2016, 6:05 am
Accounting for Rising Corporate Profits: Intangibles or Regulatory Rents? [read post]
14 Feb 2024, 9:05 pm
If a corporation does not offer an investor protection against mid-term changes, it is bound to have a negative effect on the price that investors are willing to offer in the first place. [read post]
29 Sep 2019, 2:40 pm
Among other things following the release of this information, Facebook and certain of its directors and officers were hit with a securities suit alleging that the company had mislead investors about the company’s privacy policy and protection of user information. [read post]
25 Feb 2022, 6:01 am
Levin, The Activist Investor, on Thursday, February 24, 2022 Tags: Boards of Directors, Institutional Investors, Proxy voting, SEC, Securities regulation, Shareholder voting, Universal proxy ballots [read post]
12 May 2009, 6:21 am
Corporate and Securities Law Institute by Mark Gerstein, Bradley Faris, and Christopher Drewry of Latham & Watkins LLP.) [read post]
24 Jun 2010, 3:41 pm
The decision might have the unintended consequence of increasing order flow to US broker-dealers if institutional investors adopt a “best execution” practice that favors buying dual-listed securities on US exchanges, in order to insure protection against securities fraud. [read post]
26 Apr 2019, 5:55 am
Securities and Exchange Commission, on Sunday, April 21, 2019 Tags: Institutional Investors, Investor protection, Proxy advisors, Proxy voting, Regulation NMS, SEC, Securities regulation, Shareholder voting Cryptocurrency and Other Digital Assets for Asset Managers Posted by Gregory S. [read post]
20 May 2019, 6:11 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
5 Jun 2023, 9:01 pm
The SEC believes that periodic disclosure of daily repurchases will enable investors “to evaluate the efficiency of share repurchases or determine a pattern of when repurchases could be timed to affect compensation or to benefit from material nonpublic information,” which will increase “investor confidence. [read post]
29 Jul 2009, 8:46 am
The Allied Security Trust does not litigate its patents.RPX Corporation. [read post]
29 Jul 2022, 6:30 am
Sharfman (Main Street Investors Coalition Advisory Council), on Thursday, July 28, 2022 Tags: Climate change, Comment letters, Disclosure, Environmental disclosure, ESG, Investor protection, Risk, SEC, SEC rulemaking, Securities regulation Remarks by Chair Gensler at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” Posted by Gary Gensler, U.S. [read post]
29 Jul 2022, 6:30 am
Sharfman (Main Street Investors Coalition Advisory Council), on Thursday, July 28, 2022 Tags: Climate change, Comment letters, Disclosure, Environmental disclosure, ESG, Investor protection, Risk, SEC, SEC rulemaking, Securities regulation Remarks by Chair Gensler at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” Posted by Gary Gensler, U.S. [read post]
24 Jan 2020, 1:00 am
”[5] As a result, boards of directors must rely on the professionals that represent and protect them to be well informed of the risk and exposure of a potential securities class action. [read post]
