Search for: "Securities Investor Protection Corporation"
Results 1841 - 1860
of 4,476
Sort by Relevance
|
Sort by Date
3 Aug 2018, 6:10 am
Securities and Exchange Commission, on Tuesday, July 31, 2018 Tags: Broker-dealers, Conflicts of interest, Duty of care, Duty of loyalty, Fiduciary duties, FINRA, Form ADV, Form CRS, Governance standards, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation Statement Announcing SEC Staff Roundtable on the Proxy Process Posted by Jay Clayton,… [read post]
30 Jul 2018, 9:04 am
But for the multitude of corporations who are using blockchain technologies, the issue is not so simple. [read post]
30 Jul 2018, 9:04 am
But for the multitude of corporations who are using blockchain technologies, the issue is not so simple. [read post]
Analysis and Recommendations on Shareholder Proposal Decision-Making under the SEC No-Action Process
26 Jul 2018, 6:41 am
The shareholder proposal process, administered by the Securities and Exchange Commission (SEC) under Rule 14a-8, is a pillar of modern corporate governance. [read post]
26 Jul 2018, 3:00 am
Within four business days of making the decision, companies must issue a securities filing called an 8-K if a material corporate event occurs, and the departure of a chief executive certainly qualifies. [read post]
25 Jul 2018, 12:54 pm
If all of the shareholders of the California corporation are “accredited investors,” as defined in Rule 501(a) of Regulation D promulgated under the Securities Act,[5] then the analysis is relatively straight-forward. [read post]
25 Jul 2018, 12:52 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]
25 Jul 2018, 7:28 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]
25 Jul 2018, 3:00 am
By reducing the compliance burdens associated with existing financial statement requirements for these entities, the SEC hopes to encourage issuers to register debt offerings, & thus provide investors with greater protections than they receive in unregistered offerings. [read post]
23 Jul 2018, 11:09 am
Securities firm Gana Weinstein LLP is investigating Newbridge Securities Corporation (Newbridge Securities) broker Jeffrey Eglow (Eglow). [read post]
23 Jul 2018, 11:09 am
Securities firm Gana Weinstein LLP is investigating Newbridge Securities Corporation (Newbridge Securities) broker Jeffrey Eglow (Eglow). [read post]
22 Jul 2018, 6:47 am
The attorneys at Gana Weinstein LLP are reviewing court documents and complaints related to The Securities and Exchange Commission’s (SEC) charge that an equipment leasing company – Essex Capital Corporation (Essex) – and its founder Ralph Iannelli (Iannelli) defrauded investors in connection with sales of over $80 million in promissory notes. [read post]
22 Jul 2018, 6:47 am
The attorneys at Gana Weinstein LLP are reviewing court documents and complaints related to The Securities and Exchange Commission’s (SEC) charge that an equipment leasing company – Essex Capital Corporation (Essex) – and its founder Ralph Iannelli (Iannelli) defrauded investors in connection with sales of over $80 million in promissory notes. [read post]
20 Jul 2018, 6:14 am
Solomon, Cleary Gottlieb Steen & Hamilton LLP, on Monday, July 16, 2018 Tags: ALJs, Dodd-Frank Act, SEC, SEC enforcement, Securities enforcement, Securities regulation, Supreme Court 2018 Investor Corporate Governance Report Posted by Viraj Patel, CMi2i Proxy, on Tuesday, July 17, 2018 Tags: Board independence, Boards of Directors, Corporate culture, ESG, Human… [read post]
16 Jul 2018, 5:53 pm
But Fannie and Freddie are also private corporations with private stockholders, and many investors are disenchanted with the Federal Government's management. [read post]
14 Jul 2018, 7:11 am
Kimber Chair in Investor Protection and Corporate Governance at University of Toronto Faculty of Law. [read post]
14 Jul 2018, 5:17 am
Shulga is the co-founder of Ross & Shulga PLLC, a New York-based boutique law firm specializing in advising individual and corporate clients on aspects of corporate and securities law. [read post]
13 Jul 2018, 11:39 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]
13 Jul 2018, 9:21 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]
13 Jul 2018, 6:00 am
Since the self-regulatory body focuses on protecting retail investors in all financial markets, it can be assumed that the disclosures would help in this goal. [read post]
