Search for: "Securities Investor Protection Corporation"
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5 Apr 2009, 1:26 pm
In December 2008, after the Securities and Exchange Commission (”SEC”) concurred in the exclusion of shareholder proposals seeking greater disclosure of risks related to mortgage investments at Washington Mutual, a coalition of over 60 investors called on then President-Elect Obama to limit the ability of companies to exclude shareholder proposals related to corporate risk evaluation.[10] The corporate governance challenges for the companies… [read post]
31 Oct 2017, 11:34 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]
8 Aug 2020, 7:08 am
After extensive hearings, Congress concluded that the individual states had failed to protect investors from the sort of abuses the SEC had documented. [read post]
30 Jul 2020, 7:04 am
Reg BI replaces the suitability standard and sets out more robust investor protections than had been required under suitability. [read post]
11 Nov 2021, 8:40 am
While some may call for SPAC investments to be restricted to accredited investors, educating retail investors and providing specific comparable disclosures could help protect investors while still giving them access to invest in SPAC IPOs. [read post]
2 May 2014, 7:04 am
Vitale defrauded investors in a Florida real estate venture, sold unregistered securities, and acted as an unregistered broker-dealer. [read post]
31 Jul 2012, 9:46 am
According to the SEC, it is important that investors have information about the entities that are responsible for the monies necessary to make payments on municipal securities in order to be able to assess their investments. [read post]
10 Nov 2022, 9:53 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]
16 Sep 2014, 8:42 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]
29 Jul 2013, 4:45 pm
For example as Keith Bishop over at the California Corporate & Securities Law Blog points out in a recent post that certain other state laws may be implicated with these types of advertisements. [read post]
9 Aug 2017, 11:42 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]
25 Jul 2007, 11:49 am
Example: Investor owns 1,000 shares in X Corporation, which is trading at 144. [read post]
18 Oct 2019, 6:14 am
Securities and Exchange Commission, on Thursday, October 17, 2019 Tags: Agency costs, Capital structure, Controlling shareholders, Dual-class stock, Institutional Investors, Long-Term value, SEC, Securities regulation [read post]
3 Mar 2017, 6:16 am
Posted by Jeff Schwartz, University of Utah, on Sunday, February 26, 2017 Tags: Accountability, Disclosure, Fair values, Financial reporting, Firm valuation, Fund managers, Investor protection, Liquidity, Mutual funds, Private equity, Retail investors, Risk disclosure, Risk-taking, SEC, Securities regulation, Tech companies, Venture capital firms Shareholder Proposals Regarding Lead Director Tenure: A Harbinger of Things to Come? [read post]
4 Nov 2022, 6:30 am
Securities and Exchange Commission, on Thursday, November 3, 2022 Tags: Dodd-Frank Act, Form N-PX, Investor protection, Say on pay, SEC, SEC enforcement, Section 951 [read post]
1 Mar 2012, 9:40 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 Boca Raton, Florida. [read post]
1 Mar 2012, 9:40 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 Boca Raton, Florida. [read post]
14 Oct 2013, 6:11 am
The White Law Group is a national securities fraud, securities arbitration, investor protection, and securities regulation law firm with offices in Boca Raton, Florida and Chicago, Illinois. [read post]
6 Aug 2012, 6:49 am
Moody’s Investors Service recently downgraded ratings of numerous gas prepayment bonds. [read post]
6 Aug 2012, 6:49 am
Moody’s Investors Service recently downgraded ratings of numerous gas prepayment bonds. [read post]
