Search for: "Securities Investor Protection Corporation"
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24 Jul 2017, 4:39 pm
Here we conclude that a redeployment by the NCE that meets the guidelines described in this White Paper would reflect industry best practices for compliance with USCIS policy, securities laws and fiduciary duties of the general partner or manager of the NCE. [read post]
12 Oct 2007, 12:51 am
REAL ESTATE INVESTMENT COMPANY ACT (Amended as of January 14, 2005)(New Law in effect on Oct, 2007)CHAPTER I GENERAL PROVISIONS Article 1 (Purpose) The purpose of this Act is to contribute to the development of national economy by prescribing the matters concerning the establishment of a real estate investment company, the management methods of assets thereof and the protection of investors therein to provide citizens at large with more opportunities to invest in the real estate… [read post]
21 Jun 2011, 2:00 am
Most companies have been using social media as a “supplement” to their existing corporate communications/investor relations procedures (i.e. live tweeting an earnings call). [read post]
3 Jun 2022, 6:31 am
As written, the proposed changes are highly focused on near term aspects of protecting investors (the first role): (i) protect investors; (ii) maintain fair, orderly, and efficient markets; and (iii) facilitate capital formation. [read post]
3 Jun 2022, 6:31 am
As written, the proposed changes are highly focused on near term aspects of protecting investors (the first role): (i) protect investors; (ii) maintain fair, orderly, and efficient markets; and (iii) facilitate capital formation. [read post]
5 May 2012, 12:53 pm
These instruments should be subject to joint SEC·CFTC oversight, he believes, not only to protect investors, but also to protect commodity and equity markets from manipulation and excessive speculation that distorts prices and increases price volatility. [read post]
10 Feb 2010, 11:26 am
Securities and Exchange Commission (1953-2008) and her commitment to protecting investors and ensuring fairness in the capital markets Presented by Neil Minow The Corporate Library Wednesday, March 17, 2010 5:00 pm Followed by a Reception Columbus School of LawThe Catholic University of America R.S.V.P. by March 12th to n.green@sechistorical.org The Columbus School of Law, The Catholic… [read post]
8 Aug 2017, 2:30 pm
Directors may be corporations or natural persons. [read post]
15 Jun 2018, 6:12 am
Zagoroff, Glass, Lewis & Co., on Tuesday, June 12, 2018 Tags: Boards of Directors, CHOICE Act, Corporate Governance Reform and Transparency Act, Corporate Social Responsibility, ESG, Institutional Investors, Proxy access, Proxy advisors, Securities regulation, Shareholder proposals, Shareholder voting, US House Index Fund Stewardship Posted by Lucian Bebchuk, Alma Cohen, and Scott Hirst… [read post]
10 Nov 2017, 3:00 am
Other investors are looking for protection against inflation. [read post]
10 Nov 2017, 3:00 am
Other investors are looking for protection against inflation. [read post]
26 Aug 2016, 6:00 am
Anders in NYU Law’s Program on Corporate Compliance and Enforcement In the space of one week, the SEC brought two enforcement actions that reiterate its focus on protecting the rights of whistleblowers. [read post]
26 Oct 2022, 12:56 pm
In announcing the rule amendments, SEC Chair Gary Gensler praised the whistleblower program noting that it “has greatly aided the Commission’s work to protect investors. [read post]
7 Apr 2011, 10:39 am
§ 78j(b), provides that “it shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange… (b) To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered, or any securities-based swap agreement (as defined in… [read post]
18 Nov 2021, 12:14 pm
The 2020 rules sought to provide greater protection to investors by requiring proxy advisory firms to give enhanced disclosures and subject them to additional legal liability. [read post]
23 Sep 2016, 6:05 am
Securities & Exchange Commission, on Friday, September 16, 2016 Tags: Algorithmic trading, Audit trail, Broker-dealers, Capital markets, Disclosure, Exchange-traded funds, Financial technology, FINRA, High-frequency trading, Investor protection, Market conditions, Market efficiency, Proprietary trading,REG SCI, SEC, Securities regulation, Transparency A Theory of Efficient Short-Termism Posted by Richard T. [read post]
11 Aug 2011, 11:48 am
The Shareholder Protection Act, S. 1360, would empower investors to authorize a company’s expenditures on political activities on an annual basis. [read post]
12 Oct 2009, 1:42 pm
Introduction The Securities Act of 1933 and the Securities Exchange Act of 1934 were enacted in response to the Stock Market Crash of 1929 that ushered in the Great Depression. [1] In passing the Acts, Congress’ intention was to implement regulations that would govern the ways securities were bought and sold in the United States and to protect individual consumers from securities fraud. [read post]
14 Jul 2014, 5:00 am
One of its goals is to maintain the integrity of the securities markets so that all investors can buy and sell shares without fear of fraud or manipulation. [read post]
23 Nov 2020, 2:09 pm
” Following the offering, investor plaintiffs filed a class action on behalf of investors who purchased Uber shares in the companies IPO in California (San Francisco County) Superior Court alleging violations of Sections 11, 12 and 15 of the Securities Act of 1933. [read post]
