Search for: "Securities Investor Protection Corporation"
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17 Oct 2022, 9:46 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
27 Jan 2022, 9:00 am
On November 15, 2021, the Securities and Exchange Commission (SEC) released its annual report highlighting the success of its Whistleblower Program. [read post]
26 Apr 2024, 12:59 pm
It has set up Action Alert calling on whistleblower supports to join them in urging Congress to pass the bill and protect internal corporate whistleblowers. [read post]
24 Jun 2024, 9:01 pm
The Division of Corporation Finance has over 400 professionals, primarily comprised of accountants and attorneys, who carry out the Commission’s important three-part mission of protecting investors, facilitating capital formation, and maintaining fair, orderly, and efficient markets. [read post]
19 Apr 2012, 2:28 pm
As a protection, prior to the sale each investor will be quoted a final price and provided with all required disclosures and will have an opportunity to rescind any purchase commitment. [read post]
14 Apr 2018, 8:36 am
Facebook had known about the security breaches and did nothing to protect its users is what is alleged in the complaint. [read post]
3 Dec 2021, 6:06 am
An Analysis of Corporate Board (Sub-) Committees Posted by Renée B. [read post]
8 Jul 2007, 11:02 am
(2) A person exercising investment discretion with respect to an account shall make such disclosure of his policies and practices with respect to commissions that will be paid for effecting securities transactions, at such times and in such manner, as the appropriate regulatory agency, by rule, may prescribe as necessary or appropriate in the public interest or for the protection of investors [read post]
29 Mar 2009, 12:50 am
" SIPC, the Securities Insurance Protection Corporation, created under the Securities Investor Protection Act, is a fund that broker members contribute to in order to cover insolvency, but not fraud. [read post]
8 Oct 2020, 2:32 pm
On October 7, 2020, the City of Rivera Beach General Employees Retirement System, a Royal Caribbean shareholder, filed a securities class action lawsuit in the Southern District of Florida against the company and certain of its officers, alleging violations of federal securities laws and seeking to recover damages on behalf of a class of investors who purchased Royal Caribbean securities between February 4, 2020 and March 17, 2020. [read post]
29 Jul 2024, 9:05 pm
Practical Implications for Corporate Governance My findings have significant implications for corporate governance practices and policymaking. [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]
1 Sep 2023, 6:07 am
They have similar allegations of “breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida Securities And Investor Protection Act. [read post]
12 Oct 2010, 6:38 am
Because the fewer the number of classes required to get a transaction done, a consent approved, or a waiver secured, the easier it will end up being to get the requisite investor approval. [read post]
24 Apr 2017, 7:39 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]
23 May 2014, 3:02 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 Boca Raton, Florida. [read post]
29 Apr 2016, 6:10 am
Dicke, Fenwick & West LLP, on Monday, April 25, 2016 Tags: Accounting, Boards of Directors, Capital formation, Compliance & ethics, Compliance and disclosure interpretation,Disclosure, Exchange Act, Investor protection, IPOs, Misreporting, Private firms, Rule 10b-5, SEC, SEC enforcement,Section 10(b), Securities enforcement, Securities fraud, Securities Regulation, Swaps, Tech companies Rollout of Proposed Rule on Incentive Pay Posted by… [read post]
16 Jun 2021, 6:46 am
"To meet our mission of protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation, the SEC has a lot of regulatory work ahead of us," said SEC Chair Gary Gensler. [read post]
21 Jul 2007, 7:30 am
Corporate governance is at least connected to disclosure. [read post]
4 Jan 2017, 3:49 am
Trump’s head of the Environmental Protection Agency, is also vetting candidates to lead the Securities and Exchange Commission, The Wall Street Journal reported. [read post]
