Search for: "Securities Investor Protection Corporation"
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10 Apr 2020, 6:01 am
Mascari, Cornerstone Research, on Thursday, April 9, 2020 Tags: Accounting, Class actions, Merger litigation, Securities litigation, Settlements Annual General Meetings & COVID-19 Posted by Michael Laff, Institutional Shareholder Services, Inc., on Thursday, April 9, 2020 Tags: Boards of Directors, COVID-19, SEC, Securities regulation, Shareholder meetings, Virtual meetings Are Corporate Payouts… [read post]
9 Apr 2020, 10:27 am
Zoom has responded by racing to plug holes and beef up its consumer and corporate protections to stave off stiff competition from Microsoft Teams and Skype, Google’s G Suite apps, and other more traditional teleconferencing providers. [read post]
8 Apr 2020, 4:22 pm
In addition, the board intends to examine specific investor protection issues, market integrity, or conduct risks that may arise in the context of the crisis. [read post]
8 Apr 2020, 2:50 pm
We’ll keep you safe and secure while ensuring you get a clean blank slate today. [read post]
8 Apr 2020, 11:48 am
Rather, the concerns surrounding Zoom relate to the ways in which Zoom protected user privacy and user data. [read post]
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]
6 Apr 2020, 11:04 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]
6 Apr 2020, 10:38 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]
6 Apr 2020, 10:37 am
Extended forbearances would frustrate payments to investors in residential mortgage-backed securities. [read post]
6 Apr 2020, 10:16 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]
5 Apr 2020, 7:35 am
This risk is even more acute for small-capitalization companies, for whom the mandatory filing and waiting period regime of the Hart-Scott-Rodino Antitrust Improvements Act may provide little protection, since it does not apply to acquisitions of shares resulting in aggregate ownership of voting securities valued at less than $94 million. [read post]
3 Apr 2020, 4:14 pm
Chris Gerold, chief of the New Jersey Bureau of Securities and the president of the North American Securities Administrators Association (NASAA), discussed how COVID-19 is impacting state securities regulators and enforcement actions. [read post]
3 Apr 2020, 6:03 am
Securities and Exchange Commission, on Saturday, March 28, 2020 Tags: Broker-dealers, COVID-19, Disclosure, Engagement, FSOC, Investment advisers, Investor protection, SEC, Securities regulation, Systemic risk, Virtual meetings Non-U.S. [read post]
1 Apr 2020, 3:08 pm
Several laws related to corporate fraud include whistleblower protections, such as the Dodd-Frank Act, the Sarbanes-Oxley Act, and the Commodity Exchange Act. [read post]
1 Apr 2020, 9:37 am
This alert highlights certain key matters impacting technology and high growth businesses, and investors who invest in those businesses, at this unprecedented time in world history. [read post]
31 Mar 2020, 1:50 pm
The SEC has placed increased focus in recent years on inspections of, and bringing claims against, private funds that run afoul of securities laws. [read post]
25 Mar 2020, 10:16 am
Securities and Exchange Commission Chairman Jay Clayton, the SEC’s Division of Enforcement has made the protection of Main Street investors its overarching priority. [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]
24 Mar 2020, 3:49 pm
OCIE assured that it remains fully operational nationwide and will continue to execute its investor protection mission. [read post]
23 Mar 2020, 7:19 am
FINANCIAL PROS WORKING FROM HOME INCREASES COMPLIANCE RISKSIn reaction to the appearance of the pandemic coronavirus, some financial consulting corporations are telling their employees to work from home. [read post]
