Search for: "Securities Investor Protection Corporation"
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15 Sep 2021, 6:16 am
In the rest of the world, by contrast, nearly 80 percent of lending to such firms comes from banks. [3] Our capital markets continue to support American competitiveness on the world stage because of the strong investor protections we offer. [read post]
22 Mar 2019, 6:27 am
Shea Jr., on Monday, March 18, 2019 Tags: Equity securities, Investor protection, IPOs, Liquidity, Listing standards, NASDAQ, NYSE, SEC, SEC rulemaking, Securities regulation Where’s the Greenium? [read post]
12 Apr 2019, 6:20 am
Securities and Exchange Commission, on Tuesday, April 9, 2019 Tags: Human capital, Investor protection, SEC, SEC rulemaking, Securities enforcement, Securities regulation Encouraging Smaller Entrants to Our Capital Markets Posted by Elad L. [read post]
28 May 2021, 6:01 am
Securities and Exchange Commission, on Tuesday, May 25, 2021 Tags: Accredited investors, Capital formation, Crowdfunding, Disclosure, ESG, Investor protection, Private firms, Regulation Best Interest, SEC, Securities regulation, Solicitation 2021 Say on Pay & Proxy Results Posted by Todd Sirras, Justin Beck, and Austin Vanbastelaer, Semler Brossy LLP, on Wednesday, May 26, 2021 … [read post]
30 Oct 2013, 12:35 pm
In order to more effectively protect investors, Title III of the JOBS Act provides that crowdfunding transactions must take place through an SEC-registered intermediary, either a broker-dealer or a funding portal. [read post]
25 Jan 2012, 6:23 am
Generally, missing securities are protected by the Securities Investor Protection Corporation Insurance found on many brokerage accounts. [read post]
15 Nov 2022, 1:00 pm
“As reflected in these results, the Enforcement Division is working with a sense of urgency to protect investors, hold wrongdoers accountable and deter future misconduct in our financial markets,” said Gurbir S. [read post]
25 Jun 2015, 1:29 pm
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]
15 Sep 2020, 3:03 pm
********************** In my sixth decade of private practice, I describe myself as a corporate and securities lawyer focused on business transactions. [read post]
12 Mar 2023, 2:05 pm
Further, critics contend that the rule goes beyond the SEC’s mandate to protect investors by requiring disclosure of information relevant to companies’ financial performance. [read post]
14 Jul 2010, 5:01 pm
In provisions authored by Senator Dodd, the recovery legislation mandated important corporate governance safeguards and imposed various executive compensation limits on companies participating in the troubled assets relief program (TARP), including a requirement for a nonbinding shareholder advisory vote on executive compensation and for independent compensation committees, presaging requirements that would be placed on all listed companies by the Dodd-Frank Act.On February 25, 2009,… [read post]
27 Apr 2018, 11:00 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]
27 May 2020, 7:15 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]
6 Aug 2008, 1:44 pm
And how does his approach better protect investors, especially short-term investors? [read post]
22 Jun 2007, 9:06 am
Some economists argue that markets themselves drive out false information, or at least provide good ways for investors to protect themselves (diversified portfolios, etc.) [read post]
29 Nov 2021, 12:01 pm
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]
22 Jul 2014, 10:20 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
8 Apr 2020, 4:22 pm
In addition, the board intends to examine specific investor protection issues, market integrity, or conduct risks that may arise in the context of the crisis. [read post]
23 Feb 2024, 6:52 am
Kinjal Shah, Crypto Freedom Alliance of Texas Chair and General Partner at Blockchain Capital, said, “Texas should move forward and lead by example with sensible crypto policies that protect consumers and investors, and foster innovation. [read post]
18 Aug 2009, 6:18 am
The proxy rules (and the securities laws in general) have long provided mandatory arrangements establishing a minimum level of protection for public investors, with companies being free to add additional protections but not to reduce investors' protections below the established minimum. [read post]
