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20 Apr 2011, 9:29 am
Steve Stivers (R-OH).Finally, the subcommittee will nark up HR 33, which would amend the Securities Act to specify when certain securities issued in connection with church plans are treated as exempted securities. [read post]
3 Sep 2014, 4:38 am
New investors to the security after a proxy contest is launched typically back the dissident, he added. [read post]
14 May 2017, 2:24 pm
The Dodd-Frank Act’s disclosure provisions that sought to advance various foreign or domestic policy goals through corporate reporting requirements arguably represent a departure from the securities laws’ purposes of protecting investors. [read post]
2 Apr 2010, 5:00 am
However, it is important to remember that although Massachusetts may be the state with the most comprehensive set of rules for securing personal data, other states have enacted similar protections, and compliance with Massachusetts does NOT necessarily mean compliance with other states. [read post]
12 Nov 2008, 2:37 am
Including, perhaps, the investors that purchased securities backed by the Countrywide mortgages. [read post]
22 Jul 2020, 3:07 pm
Securities and Exchange Commission (SEC). [read post]
9 Sep 2019, 7:51 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]
14 Dec 2022, 1:23 pm
Talis Biomedical Talis Biomedical Corporation develops diagnostic tests for infectious diseases. [read post]
12 Nov 2013, 7:50 am
State Securities Laws: State registration ("blue sky") and offering requirements are pre-empted by the JOBS Act, but remain subject to state anti-fraud enforcement.Having been drafted by the SEC Division of Corporation Finance's Office of Chief Counsel, Regulation Crowdfunding reflects a deliberate attempt to balance the need for both a spur to small business capital formation and measures to protect investors from fraud. [read post]
13 Dec 2023, 3:06 pm
Certain federal agencies regulate the banking industry, such as the Federal Deposit Insurance Corporation. [read post]
6 Oct 2021, 6:52 am
In the rest of the world, by contrast, nearly 80 percent of lending to such firms comes from banks. [3] Our capital markets continue to support American competitiveness on the world stage because of the strong investor protections we offer. [read post]
3 Jan 2020, 7:09 am
Private placements are also not subject to many of the laws and regulations designed to protect everyday investors. [read post]
28 Apr 2017, 6:02 am
Heineman, Jr., Harvard Law School and Harvard Kennedy School of Government, on Wednesday, April 26, 2017 Tags: Accountability, Bank boards, Banks, Boards of Directors, Compliance & ethics, Consumer protection, Corporate culture, Financial institutions, Management, Misconduct, Oversight, Risk oversight, Wells Fargo What Do the SEC’s Recent Bitcoin Disapproval Orders Really Mean for Investors? [read post]
12 Jan 2009, 6:38 pm
Traditionally, public investments and union-based corporate pension funds were managed according to strict fiduciary principles designed to protect workers and taxpayers. [read post]
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]
6 Nov 2020, 7:39 am
The SEC should seek input from issuers, transfer agents, broker-dealers, clearing corporations, banks, investors, regulators, exchanges, underwriters, and industry experts at this dematerialization roundtable.Discussion. [read post]
7 Jul 2010, 9:30 am
Some institutional investors prefer to remain anonymous to protect the confidentially of their trading strategies. [read post]
15 Jul 2010, 12:44 pm
Best Company, Inc., Moody’s Investors Service, Inc., and Standard & Poor’s Ratings Service. [read post]
28 Dec 2023, 9:03 am
It has set up Action Alert calling on whistleblower supports to join them in urging Congress to pass the bill and protect internal corporate whistleblowers. [read post]
2 May 2024, 8:34 am
NWC has set up Action Alert calling on whistleblower supports to join them in urging Congress to pass the bill and protect internal corporate whistleblowers. [read post]
