Search for: "Securities Investor Protection Corporation"
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6 Apr 2020, 1:40 pm
While economic volatility has created opportunities for issuers to repurchase their debt and equity securities at favorable prices, directors should be aware of their, and the corporation’s, obligations under applicable state and federal securities laws. [read post]
28 Sep 2017, 12:22 pm
Mathews Award, which is awarded annually to an SEC employee who has been consistently creative in applying the federal securities laws for the benefit of investors. [read post]
8 Feb 2021, 2:27 pm
The complaint purports to be filed on behalf of a class of investors who purchased the company’s securities between September 19, 2017 and December 18, 2018. [read post]
25 Mar 2020, 6:16 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
17 Jul 2020, 12:56 pm
The Sarbanes Oxley Act also makes it a criminal offense for a corporate officer to certify or fail to certify a corporate report. [read post]
19 Jan 2009, 1:24 am
Dotterweich, to hold corporate officers in responsible positions of authority personally (and in that case, criminally) liable for violating strict liability statutes protecting the public welfare. [read post]
30 Sep 2016, 6:09 am
Nagy, Indiana University, on Monday, September 26, 2016 Tags: Compliance & ethics, Duty of loyalty, Exchange Act, Fiduciary duties, Inside information, Insider trading, Liability standards, Regulation FD, Rule 10b-5, SEC enforcement, Securities enforcement, Securities fraud, Securities litigation,Securities regulation, STOCK Act, Supreme Court How to Disclose a Cybersecurity Event: Recent Fortune 100 Experience Posted by Luke Dembosky and Jeremy Feigelson,… [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]
10 Jun 2020, 1:47 pm
As noted in a June 9, 2020 Harvard Law School Forum on Corporate Governance article about the SEC’s COVID-19 enforcement actions (here), “since the onset of the COVID-19 pandemic, the SEC has aggressively messaged its intent to remain vigilant and protect investors from fraud in the current environment. [read post]
22 Jul 2014, 10:25 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
23 Mar 2017, 7:52 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 Vero Beach, Florida. [read post]
18 May 2009, 7:03 am
Page Perry's attorneys are actively involved in representing institutional and corporate investors in securities cases. [read post]
30 May 2018, 9:45 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 Vero Beach, Florida. [read post]
5 Feb 2011, 10:22 am
The dispersed nature of stockownership, moreover, makes bilateral negotiation of specialized safeguards especially difficult: Arrangements among a corporation, the underwriters of its debt, trustees under its indentures and sometimes ultimate investors are typically thoroughly negotiated and massively documented. [read post]
30 Jun 2023, 3:30 am
Together with liability (including antifraud) provisions and substantive regulation, mandatory disclosure rules have been one of the three core regulatory tools employed at the federal level to promote capital formation and fair, honest markets for securities, while at the same time providing core protections for investors. [read post]
5 Apr 2023, 9:01 pm
It protects investors and reduces the cost of capital. [read post]
25 Apr 2012, 2:24 pm
Reading the mandatory disclosure chapter of Easterbrook and Fischel's The Economic Structure of Corporate Law, I was struck by this passage: The securities laws may be designed to protect special interests at the expense of investors. [read post]
11 Mar 2019, 5:00 am
Specifically, Justice Stevens cited law review articles positing that corporate democracy is ineffective because officers and directors have disproportionate power versus shareholders and are likewise protected by the business judgment rule. [read post]
31 Aug 2020, 3:00 pm
-listed corporations. [read post]
15 Jun 2016, 11:52 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]
