Search for: "Securities Investor Protection Corporation"
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22 Dec 2023, 3:00 pm
NWC has set up Action Alert calling on whistleblower supports to join them in urging Congress to pass the bill and protect internal corporate whistleblowers. [read post]
22 Dec 2023, 3:00 am
District Court Judge James Boasberg concluded that the vast majority of the messages Perry exchanged, some with other members of Congress, some with members of the Trump administration, and some with allies outside of government, could not be shielded from prosecutors by Perry’s constitutional protections as a member of Congress. [read post]
21 Dec 2023, 8:54 am
Locking down the assets – without giving the fraudster a heads-up – helps to protect investors and preserve the possibility of obtaining meaningful equitable relief at the end of the case. [read post]
18 Dec 2023, 2:48 pm
Conversations regarding the annual review may raise sensitive matters, and advisers should ensure that these discussions are protected by attorney-client privilege. [read post]
15 Dec 2023, 4:17 am
Filed in September, the putative class action accuses the trio of obscuring Disco’s financial struggles leading investors astray. [read post]
15 Dec 2023, 3:00 am
Since 2010, investors have filed 576 shareholder resolutions requesting more details on how much companies spend on lobbying activities and oversight of those activities, the report found. [read post]
13 Dec 2023, 11:00 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
13 Dec 2023, 3:06 pm
Certain federal agencies regulate the banking industry, such as the Federal Deposit Insurance Corporation. [read post]
12 Dec 2023, 9:05 pm
In the global effort to protect the earth’s climate, the pace of regulation is rivaled only by the speed of technological innovation. [read post]
12 Dec 2023, 2:26 pm
Picard was asked to serve as trustee by the Securities Investor Protection Corporation (SIPC), and his fees, and the fees of his law firm, Baker & Hostetler, have been paid by the SIPC. [read post]
11 Dec 2023, 9:05 pm
The protection that drove the Synutra decision was protection of the controller. [read post]
8 Dec 2023, 9:35 am
We are using the full force of the law to protect investors. [read post]
7 Dec 2023, 1:30 am
It delivers detailed, practical compliance guidance for corporations and their lawyers, alike. [read post]
6 Dec 2023, 2:35 am
If a firm fails to meet this requirement, it shall make contributions to the disabled employment security fund (which is used to support the employment and livelihood of disabled persons). [read post]
5 Dec 2023, 9:05 pm
Indeed, Section 11 is basically a strict liability provision with regard to the corporate issuer. [read post]
3 Dec 2023, 9:05 pm
For example, a prospectus written on paper must be filed with the SEC and provided to investors about the offering and sale of securities. [read post]
1 Dec 2023, 10:53 am
Reports can be made to the Securities & Exchange Commission and Commodity Futures Trading Commission under the Dodd-Frank Act. [read post]
1 Dec 2023, 10:14 am
Field preemption in the context of securities regulation is somewhat murky, but certain complex forms of securities enforcement have traditionally been the domain of the SEC and other federal agencies. [read post]
29 Nov 2023, 9:01 pm
Overall, another year of high monetary sanctions illustrates the Division’s continued objective to “aggressively employ[] all of its tools to protect investors and market integrity[,]”[4] including by demanding penalties significantly exceeding penalty precedents in similar cases. [read post]
24 Nov 2023, 9:05 pm
Securities and Exchange Commission (SEC) with issuing standards of professional conduct for attorneys “in the public interest and for the protection of investors. [read post]
