Search for: "Securities Investor Protection Corporation"
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27 Sep 2009, 9:56 am
According to the SEC Division of Corporation's associate director Paula Dubberly, life settlements investors need full disclosure so they can understand the risks that arise with the viaticals' securitization. [read post]
30 Nov 2020, 2:22 pm
On the other hand, some investor champions viewed the proposal as a threat to the existing investor protection mechanisms. [read post]
30 Nov 2020, 2:22 pm
On the other hand, some investor champions viewed the proposal as a threat to the existing investor protection mechanisms. [read post]
24 Nov 2020, 11:48 am
On the other hand, some investor champions viewed the proposal as a threat to the existing investor protection mechanisms. [read post]
6 Mar 2020, 12:26 pm
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
29 Apr 2020, 11:57 am
” She further added that “[t]his whistleblower stepped forward and helped the agency better protect Main Street investors. [read post]
28 May 2007, 3:19 am
Insider trading defendants can thus rest assured that their suffering is for the greater good of protecting the SEC's budget while Corporate America is protected from the trial lawyers. [read post]
9 Dec 2009, 9:37 am
The SEC complaint also alleged that Rockford had reassured investors that it was a member of the Securities Investor Protection Corporation (SIPC), providing up to $4 million of insurance to cover customers' claims. [read post]
15 Apr 2021, 2:35 pm
The increased availability of litigation funding in the UK and changes to UK insolvency laws would make it easier for investors to pursue claims against directors and officers for breaches of corporate reporting duties. [read post]
8 Nov 2007, 3:01 pm
As the market takes a nosedive, investors worry about their exposure. [read post]
2 Jun 2009, 6:29 am
The securities industry also raised the risk of arbitrariness and inequity, with different companies subject to different liability regimes dependent solely on tenuous factors arising out of the location of business operations or other considerations unrelated to the investor protection objectives of the U.S. securities laws.One amicus brief has been filed with the Supreme Court already. [read post]
29 May 2012, 6:05 pm
Meantime, Senate Agriculture Committee Chairman Debbie Stabenow (D-Mich.) has written a letter to the heads of the Securities and Exchange Commission, the CFTC, the US Treasury Department, the Federal Reserve Board, the Comptroller of the Currency, and Federal Deposit Insurance Corporation urging them to go ahead and complete its implementation of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
27 Oct 2011, 11:34 am
Issues that should be considered for disclosure in SEC filings would include remediation, protection costs, and/or reputational damage. [read post]
23 Jul 2021, 6:06 am
Strengthening Internal Controls: What Do Investors Need? [read post]
25 Nov 2009, 6:47 am
Finally, look at the types of business entities: * C Corporation * S Corporation * Professional Corporations (PC) * Limited Liability Company (LLC) * General Partnership * Limited Partnership * Limited Liability Partnership (LLP) * Sole Proprietorship * Trust Yes, there is a right time to get the real security of a business entity. [read post]
22 May 2020, 6:02 am
Securities and Exchange Commission, on Saturday, May 16, 2020 Tags: Capital markets, Compliance and disclosure interpretation, COVID-19, Disclosure, Information environment, Investor protection, Market conditions, SEC, Securities regulation, Transparency Purpose With Meaning: A Practical Way Forward Posted by Robert G. [read post]
3 Mar 2009, 2:41 pm
When a brokerage firm fails and customer assets are missing or have been stolen from their accounts, its the job of the Securities Investor Protection Corporation (SIPC) to step in. [read post]
29 Nov 2014, 3:06 pm
It can also sell off assets, find investors or new financing, and reduce obligations or modify them. [read post]
24 Jun 2010, 5:00 am
The materiality concept is not about protecting investors from their own lack of acumen but about eliminating unimportant information from the decision making process. [read post]
30 May 2011, 1:30 pm
Related Web Resources: Leahy, Grassley Roll Out New Anti-Fraud Legislation, May 5, 2011 S. 890: Fighting Fraud to Protect Taxpayers Act of 2011 More Blog Posts: SEC to Propose Rule Banning “Felons and Bad Actors” From Involvement in Private Offerings, Institutional Investors Securities Blog, May 29, 2011 FINRA Chief Ketchum Says Securities Regulators Worried Whether Investors Betting on High-Yield Corporate Bonds Really Know What… [read post]
