Search for: "Securities Investor Protection Corporation"
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17 Feb 2011, 3:17 pm
According to a letter sent from the Securities Investor Protection Corporation to New Jersey congressman Scott Garrett last month, the firm had by that point received $128 million in fees for its work recovering funds for victims of Bernard L. [read post]
25 May 2022, 9:05 pm
The changing role of retail investors and meme investors, a subset of retail investors involved in recent stock rallies fueled by social media, has raised urgent questions around the need for regulatory agencies to protect them. [read post]
10 Dec 2011, 10:57 am
In order to promote transparency and investor protection, the SEC Division of Corporation Finance will limit its traditional policy with respect to the confidential non-public submission of initial registration statements by foreign private issuers. [read post]
3 Oct 2011, 4:15 pm
The securities class action filed in the United States Southern District of Florida alleges claims for violation of the Florida Securities and Investor Protection Act. [read post]
31 Jan 2011, 1:08 pm
The Securities Law strengthened investor protection, especially for minority investors, established a securities investor protection fund, and defined the system of civil responsibility to compensate for damages to investors.The Code of Corporate Governance was drawn up in line with the basic principles established by the Company Law and Securities Law. [read post]
15 Feb 2012, 9:13 am
The institutional investors stand ready to assist the Commission combat efforts to weaken or roll-back the important investor protection provisions of the Dodd-Frank Act. [read post]
2 Nov 2021, 9:05 pm
Securities regulation demands the disclosure of information to protect investors from fraud, to keep securities markets transparent and accurate, and to provide certainty for investment in sound ventures. [read post]
19 Nov 2010, 1:13 pm
- TITLE IX--INVESTOR PROTECTIONS AND IMPROVEMENTS TO THE REGULATION OF SECURITIES, Subtitle G--Strengthening Corporate Search Term Begin Governance. [read post]
23 Nov 2009, 1:22 pm
Nov 23: A supplemental petition submitted to the Securities and Exchange Commission by a broad coalition of 20 institutional investors explains that "it's impossible for investors to adequately assess the risk to their investment money if companies don't tell them how much climate change and its impacts might affect their financial performance. [read post]
22 May 2015, 7:17 pm
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]
28 Feb 2024, 7:47 am
The Ontario Securities Commission (OSC) issued an award of CAD $1,500,000 to a whistleblower who provided information which allowed the OSC to act swiftly to protect investors from harm. [read post]
24 Dec 2014, 10:54 pm
Shulga is the founder of Shulga Law Firm, P.C., a New York-based boutique law firm specializing in advising individual and corporate clients on aspects of business, corporate, securities, and intellectual property law. [read post]
11 Mar 2022, 1:54 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]
26 Jul 2010, 9:38 am
In addition, the legislation would require institutional investment managers who oversee more than $100 million in securities to disclose how they vote on corporate requests to authorize political spending. [read post]
29 Apr 2022, 7:56 am
On 28 April 2022, the Financial Conduct Authority (FCA) published Consultation Paper 22/08: Protecting investors in authorised funds following the Russian invasion of Ukraine (CP22/08). [read post]
25 Jul 2018, 12:52 pm
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]
10 Apr 2012, 6:34 am
According to a SEC press release, the committee is “to advise the Commission on regulatory priorities, the regulation of securities products, trading strategies, fee structures, the effectiveness of disclosure, and on initiatives to protect investor interests and to promote investor confidence and the integrity of the securities marketplace. [read post]
5 Mar 2024, 5:40 am
By Suzanne CosgroveThe Council of Institutional Investors (CII) has urged the SEC to initiate new rulemaking that will make it easier to trace shares sold into the marketplace through both direct listings and initial public offerings and, in the process, protect investors’ rights under Section 11 of the Securities Act of 1933.The CII said the urgency of its petition is in part a response to the Supreme Court decision Slack Technologies, LLC v. [read post]
28 Jul 2023, 1:02 pm
When this corporation and its foundation of fraudulent activity was discovered, Enron collapsed. [read post]
7 Sep 2022, 7:47 am
Did You Invest With National Securities Corporation? [read post]
