Search for: "Securities Investor Protection Corporation"
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6 Feb 2019, 7:26 am
Walmart said the use of “Protected PTO” would not count against associates’ attendance records. [read post]
3 Feb 2019, 11:57 am
If your breach is “material,” or significant, then you might only have four days to file a Form 8K under the Securities Exchange Act of 1934 to report such a breach to investors. [read post]
1 Feb 2019, 10:51 am
Faculty in corporate and securities law are usually asked to select about six choices for best corporate and securities articles from a list of articles published and indexed in legal journals during 2018. [read post]
1 Feb 2019, 7:19 am
By Brad Rosen, J.D.A panel of Gibson Dunn attorneys explored various regulatory developments that took hold in 2018 which significantly impact corporate compliance efforts in a webinar titled Challenges in Compliance and Corporate Governance. [read post]
1 Feb 2019, 6:05 am
Posted by Cydney Posner, Cooley LLP, on Friday, January 25, 2019 Tags: BlackRock, Corporate Social Responsibility, ESG, Institutional Investors, Long-Term value, Management, Shareholder value, Stakeholders, Stewardship Dealing with Activist Hedge Funds and Other Activist Investors Posted by Martin Lipton, Wachtell, Lipton, Rosen & Katz, on Friday, January 25, 2019 Tags: Board communication, Boards of… [read post]
31 Jan 2019, 2:03 pm
In most cases of ransomware, the fact pattern is the same: Ransomware attackers break into a corporate system and encrypt, or lock-up, a corporate victim’s data. [read post]
30 Jan 2019, 9:01 pm
The Enron Corporation modernized the Ponzi scheme by using complexity to hide its true financial condition and using its shares to guarantee the value of its securitized assets.Secrecy also has a great appeal and can entice investors and instill trust. [read post]
25 Jan 2019, 5:58 am
Schmalz (University of Oxford), and Adam Triggs (Australian National University), on Wednesday, January 23, 2019 Tags: Equity securities, Inequality, Ownership, Stakeholders Competition and Consumer Protection in the 21st Century Posted by Barbara Novick and Bennett Golub, BlackRock, Inc., on Wednesday, January 23, 2019 Tags: BlackRock, Common ownership, Incentives, Institutional Investors, Institutional… [read post]
25 Jan 2019, 3:00 am
Typically, however, interests in general partnerships fail the test – investors have sufficient authority and powers negating the need for the protections of the securities laws. [read post]
24 Jan 2019, 2:36 pm
The SEC’s mission, formulated some 85 or so years ago, is to protect investors; to maintain fair, orderly, and efficient markets; and to facilitate capital formation. [read post]
22 Jan 2019, 9:00 am
Investors also need to understand their obligations. [read post]
19 Jan 2019, 6:00 am
What can you do to protect your company in 2019? [read post]
18 Jan 2019, 11:49 am
As described on the SEC’s home page, the remaining staff is available to respond only to “emergency situations involving market integrity and investor protection, including law enforcement. [read post]
18 Jan 2019, 11:39 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]
18 Jan 2019, 8:47 am
A fact is considered a material only if there is a substantial likelihood that its disclosure would be viewed by a reasonable investor as significantly altering the total mix of information; for example, facts that would affect decisions to buy, sell or hold a company’s securities or affect a company‘s value. [read post]
18 Jan 2019, 5:56 am
Smith, EY Center for Board Matters, on Friday, January 11, 2019 Tags: Board communication, Board performance, Boards of Directors, Corporate culture, Engagement, Institutional Investors, Risk management, Shareholder activism, Stakeholders Compensation Season 2019 Posted by Adam J. [read post]
18 Jan 2019, 3:00 am
That peculiar set of circumstances resulted from an investor request to have the Johnson & Johnson board adopt a bylaw requiring the arbitration of all claims brought by investors arising under the federal securities laws, and providing that any such claims may not be brought as a class and may not be consolidated or otherwise joined. [read post]
17 Jan 2019, 9:30 pm
Although some observers believe that these so-called dual class stock structures reduce the accountability of corporate insiders, Fisch and Solomon suggested that “investors and the market do not know enough” about the effects of such structures to justify their regulation. [read post]
17 Jan 2019, 9:02 am
The varying standards of compliance with societal expectations may point corporate action in different direction. [read post]
17 Jan 2019, 7:10 am
In that case, the Court held that the whistleblower provisions of the Securities Exchange Act require that a person report a possible securities law violation to the SEC in order to qualify as a whistleblower protected against employment retaliation under Section 21F(h) of the Dodd-Frank legislation, and thereby invalidated the Commission’s rule interpreting that provision’s anti-retaliation protections to apply regardless of whether a report of… [read post]
