Search for: "Securities Investor Protection Corporation"
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15 May 2020, 5:00 pm
The Commission has focused on assisting exchanges, central clearing parties, and other key market infrastructure participants with implementing business continuity measures, including shifting to remote work environments, while preserving investor protections. [read post]
9 Apr 2015, 4:23 am
The idea that shareholders implicitly consent to fee-shifting provisions by buying securities rests on a misconception as to why investors buy securities in the first place. [read post]
5 Apr 2023, 8:53 am
Protecting investors. [read post]
2 Oct 2023, 9:01 pm
A while ago, the National Center for Public Policy Research – a conservative organization that focuses its advocacy in the corporate and securities space – filed a lawsuit against Starbucks, arguing that its diversity equity and inclusion program ran afoul of Title VII of the Civil Rights Act of 1964, and Section 1981. [read post]
26 Oct 2018, 6:01 am
Securities and Exchange Commission, on Thursday, October 25, 2018 Tags: Accounting, Accounting standards, Disclosure, Firm performance, Information asymmetries, Information environment, Investor protection, Securities regulation [read post]
17 May 2020, 6:47 pm
As discussed in a May 14, 2020 article on the Harvard Law School Forum on Corporate Governance entitled “Operating in a Pandemic: Securities Litigation Risk and Navigating Disclosure Concerns” (here), there are a number of steps that well-advised companies should be taking in light of the securities litigation exposure. [read post]
13 May 2016, 7:04 am
Presenter: Joe Green, Senior Legal Editor, Capital Markets & Corporate Governance Service, Practical Law Register Now: http://info.practicallaw.com/pl-webinar-Startup-Essentials-Crowdfunding Practical Law provides practical, up-to-date resources across all major practice areas to help lawyers in law firms and in-house legal departments get up to speed quickly, save time and protect the bottom line. [read post]
1 Sep 2012, 2:09 pm
However, the private securities offering rules permit up to 35 non-accredited investors in a private offering, but the new Rule will not allow any non-accredited investors. [read post]
1 Sep 2012, 2:09 pm
However, the private securities offering rules permit up to 35 non-accredited investors in a private offering, but the new Rule will not allow any non-accredited investors. [read post]
13 Mar 2018, 9:01 pm
The Labor Department, which enforces investor protections for ERISA-regulated pension funds, initiated the controversial Rule. [read post]
9 Apr 2019, 2:26 pm
” Even when it comes to investor protection, they make the argument. [read post]
9 Apr 2019, 2:26 pm
” Even when it comes to investor protection, they make the argument. [read post]
12 May 2008, 9:33 am
Fund boards negotiate the contracts that establish the price fund investors pay to have their assets managed, oversee critical aspects of their funds' operations and work to protect fund investors from any conflicts of interest that may arise in the management of funds. [read post]
9 Oct 2011, 2:06 pm
If allowed to stand, NASAA contended, the Court of Appeals’ decision will weaken investor protection by threatening the enforcement powers of the Oregon Division of Finance and Corporate Securities (Securities Division).NASAA noted that the petitioner in the case, the State of Oregon, had brought a private cause of action on behalf of the Oregon Public Employee Retirement Fund for a violation of Section 59.135 of the Oregon Securities Law. [read post]
20 Dec 2013, 4:08 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
5 Nov 2021, 5:49 am
Securities and Exchange Commission, on Wednesday, November 3, 2021 Tags: Broker-dealers, Capital markets, Derivatives, Engagement, Investor protection, SEC, SEC rulemaking, Securities regulation, Swaps, Systemic risk Mandating Disclosure of Climate-Related Financial Risk Posted by Alexander T. [read post]
30 Oct 2016, 10:55 pm
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]
22 Oct 2019, 8:16 am
If other agencies such as the Environment Protection Agency have gotten involved because the company is, say, polluting the air, the SEC won’t join the case unless investors were involved and collectively lost a certain large amount of money from investing in the entity. [read post]
13 Feb 2014, 7:57 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]
20 Jan 2011, 11:00 am
In late Q3, US corporate cash levels reached $1.9 trillion, which, as a percentage of total corporate assets, is the highest since 1959. [read post]
