Search for: "Securities Investor Protection Corporation"
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4 Feb 2022, 5:53 am
Wong, Morrison & Foerster LLP, on Sunday, January 30, 2022 Tags: Corporate fraud, Due diligence, Institutional Investors, Misconduct, Securities fraud, Securities litigation, Tech companies, Theranos Log4j: Enforcement Risk for Public Companies Posted by Caitlyn M. [read post]
9 Sep 2009, 8:22 am
Barry assured investors that their investments were safe and were covered by the Securities Investors Protection Corporation, which protects investors if a brokerage firm fails. [read post]
7 Dec 2015, 9:06 am
The Trust Indenture Act is the 1939 securities law that is the major protection for bondholders. [read post]
30 Oct 2020, 6:01 am
Bush, Bush International LLC, on Sunday, October 25, 2020 Tags: Corporate purpose, Corporate Social Responsibility, Diversity, ESG, Human capital, Reputation, Shareholder primacy, Shareholder value, Stakeholders Statement by Commissioners Lee and Crenshaw on No-Action Relief for Non-Compliance with the Customer Protection Rule Posted by Allison Herren Lee and Caroline A. [read post]
20 Feb 2020, 9:01 pm
A failure to comply with all four component obligations is a violation of Regulation Best Interest, and a retail customer, which includes a natural person or her non-professional legal representative, cannot waive or agree to waive the protections afforded under Regulation Best Interest.Thus, the client-investors cannot effectively promise not to enforce their rights under Regulation BI. [read post]
13 Feb 2014, 7:12 am
The guarantor was a sophisticated party and experienced investor. [read post]
28 Feb 2018, 1:21 pm
Securities and Exchange Commission (“SEC”) issued cybersecurity disclosure guidance for public companies (“SEC Guidance”) that, according to SEC Chair Jay Clayton, “reinforces and expands” on the SEC Division of Corporation Finance’s prior guidance from 2011 (“Corp Fin Guidance” as we previously covered) regarding disclosure requirements under the federal securities laws and related policies and procedures. [read post]
20 Jun 2019, 5:50 am
Introduction Similar to the European Union’s General Data Protection Regulation, the passage of the California Consumer Privacy Act (“CCPA”) is ushering in a new era of data privacy and data security considerations in the United States as companies are preparing for its effectiveness, the possibility for follow-ons in other states and the potential for preemptive federal legislation. [read post]
21 Jan 2022, 6:28 am
Securities and Exchange Commission, on Thursday, January 20, 2022 Tags: Artificial intelligence, Capital markets, Financial technology, Hedge funds, Institutional Investors, Investor protection, SEC, Securities regulation [read post]
5 Sep 2012, 5:34 am
Commissioner Aguilar thought the proposed rules did not go far enough in protecting investors. [read post]
10 May 2020, 7:25 pm
This post was prepared by Frank Reynolds, who has been following Delaware corporate law, and writing about it for various legal publications, for over 30 years. [read post]
3 Nov 2011, 9:29 am
The federal securities laws are designed in part for disclosure of timely, comprehensive and accurate information about risks and events that a reasonable investor would consider important to an investment decision. [read post]
16 Aug 2015, 11:54 pm
In such situations, the board of directors may be reluctant to initiate a lawsuit against one of their own, so allowing a shareholder to bring the suit in the name of the corporation can be the only practical way to protect the interests of the corporation. [read post]
16 Aug 2015, 11:54 pm
In such situations, the board of directors may be reluctant to initiate a lawsuit against one of their own, so allowing a shareholder to bring the suit in the name of the corporation can be the only practical way to protect the interests of the corporation. [read post]
19 Dec 2011, 12:33 pm
The Ontario Securities Commission's year-old investor advisory panel (which recently tabled an outstanding annual report) and the recent OSC strategic plan consultations (coupled with the reinstatement of the OSC "dialogue" process after a multi-year hiatus) are laudable initiatives. [read post]
10 May 2019, 6:17 am
Securities and Exchange Commission, on Wednesday, May 8, 2019 Tags: Broker-dealers, Capital formation, Cybersecurity, Human capital, Investor protection, Retail investors, SEC, Securities enforcement, Securities regulation, US Senate Cyber Lessons and #MeToo Risk Posted by Laurie Hays and Jamie Singer, Edelman, on Thursday, May 9, 2019 Tags: #MeToo, Board… [read post]
20 Sep 2021, 3:00 am
How about the SEC instituting a Section 12(j) proceeding seeking to involuntarily deregister your securities: On September 22, 2020, the Commission issued an order instituting an administrative proceeding (“OIP”) against STRATABASE under Section 12(j) of the Securities Exchange Act of 1934.1 The OIP alleged that STRATABASE had violated periodic reporting requirements and sought to determine, based on those allegations, whether it was “necessary and appropriate for… [read post]
7 Feb 2022, 6:56 pm
The amicus listed existing protections for stockholders and creditors, including under federal securities laws and Delaware fiduciary duties. [read post]
6 Apr 2010, 1:58 am
" She found that other statements on which plaintiffs sought to rely were forward looking and protected by the safe harbor. [read post]
14 Apr 2017, 5:00 am
FINRA is asking the public to comment on whether these new and amended rules are sufficient, or whether additional changes are needed to enhance the capital-raising process while ensuring investor protections. [read post]
