Search for: "Securities Investor Protection Corporation"
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8 Mar 2023, 5:14 pm
Front and centre is whether there are adequate investor protections in place in the current Chapter 5C regime, and “what enhancements can be made to reduce undue financial risk for investors”. [read post]
5 Aug 2017, 6:03 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]
3 May 2024, 6:30 am
Moll (University of Houston), on Tuesday, April 30, 2024 Tags: close corporations, Closely-held corporations, contractual formalism, corporation, formalism, oppression, reasonable expectations, shareholder oppression, Shareholders Action Items for Boards: Where Directors and C-Suite Leaders Align and Diverge Posted by Frank Kurre, Protiviti; Mark Rogers, BoardProspects; and Michael Tae, Broadridge Investor Communication Solutions, on Tuesday, April 30, 2024 … [read post]
3 May 2024, 6:30 am
Moll (University of Houston), on Tuesday, April 30, 2024 Tags: close corporations, Closely-held corporations, contractual formalism, corporation, formalism, oppression, reasonable expectations, shareholder oppression, Shareholders Action Items for Boards: Where Directors and C-Suite Leaders Align and Diverge Posted by Frank Kurre, Protiviti; Mark Rogers, BoardProspects; and Michael Tae, Broadridge Investor Communication Solutions, on Tuesday, April 30, 2024 … [read post]
18 Mar 2016, 6:09 am
Kess & Yafit Cohn, Simpson, Thacher & Bartlett LLP, on Sunday, March 13, 2016 Tags: Disclosure, Financial reporting, Foreign firms, Foreign issuers, Form 6-K, Investor protection, Listing standards,NYSE, Reporting regulation, SEC, SEC rulemaking, Securities Regulation Proxy Disclosure Recommendations Posted by Steven B. [read post]
30 Dec 2008, 9:15 am
Judge Stanton is being urged to extend protection offered by the Securities Investor Protection Corporation beyond direct investors to those who invested in so-called feeder funds that, in turn, invested with Madoff. [read post]
10 Nov 2023, 7:44 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [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]
27 Jan 2008, 1:08 am
Third, given the global picture, corporate profits could stay high.All three assumptions are now coming under question. [read post]
27 Aug 2010, 11:50 am
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”) also prohibits broker discretionary voting on the election of directors. [read post]
6 Jun 2012, 9:49 am
The GAO report was a product of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which required the GAO to study the SEC’s oversight of FINRA. [read post]
6 Jun 2012, 9:49 am
The GAO report was a product of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which required the GAO to study the SEC’s oversight of FINRA. [read post]
1 Mar 2021, 6:36 am
Stakeholders include all of society at large, which protects the corporation and its property. [read post]
18 Nov 2018, 8:48 pm
The Department of Consumer and Corporate Affairs released a study in 1979, the Proposals for a Securities Market Law for Canada, that provided several mechanisms through which this could e achieved. [read post]
14 Feb 2009, 7:48 am
This is a fundamental issue in corporate finance, requiring mediation of a tension between senior investors, who want security of repayment, and common (junior) stockholders, who want periodic returns on their investment. [read post]
10 Mar 2019, 11:26 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]
21 Feb 2019, 8:57 am
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]
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]
25 Apr 2016, 6:14 am
In an unprecedented one-day blitz, the Chair of the Securities and Exchange Commission was joined by the SEC Enforcement Director in events in Silicon Valley and San Francisco on March 31 focused on one message: the SEC is closely watching the conduct of private companies as well as emerging platforms that trade in private company securities, and will bring enforcement cases as needed to protect investors. [read post]
25 Sep 2020, 6:32 am
This post is based on his letter to the House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets Chairman Brad Sherman. [read post]
