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Special Report on

Securities Investor Protection Corporation Definition

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Wilfred R. Caron, Associate Gen. Counsel, Washington, D. C. (Securities Investor Protection Corp., Theodore H. Focht, Gen. Counsel, Michael E. Don, Sr. Atty., Washington, D. C., of counsel), for applicant-appellant. Roberta S. Karmel, New York City (Rogers & Wells, Laurence E. Cranch, New York City, of counsel), for defendants-appellees. Charles M. Solomon, Philadelphia, Pa. (Fox, Rothschild, O'Brien & Frankel, John C. McNamara, Jr., Philadelphia, Pa., of counsel), for claimant-appellee. Before MOORE and TIMBERS, Circuit Judges, and COFFRIN, * District Judge. MOORE, Circuit Judge: 1 In this appeal we are asked to ...
SEC Report Recommends Defining Life Settlements as "Securities ...
On July 22, the Securities and Exchange Commission released a staff report recommending that life settlements be clearly defined as "securities" for purposes of the federal securities laws in order to better protect investors. The report was prepared by the Commission's Life Settlements Task Force, which had been created in August 2009 to examine emerging issues in the life settlements market and to advise the Commission on the need to improve market practices and regulatory oversight. The Task Force is comprised of members from multiple divisions of the Commission, including Corporation Finance, Enforcement, Investment ... market research, surveys and trends
Senate Passes Historic and Sweeping Overhaul of US Financial ...
for an exemption that is consistent with the SEC‘s previous exemptive policy and that takes into account the range of organizational and employment structures employed by family offices. Section 409 The legislation raises the asset threshold above which investment advisers must register with the SEC from the $25,000,000 set in 1996 by the National Securities Markets Improvement Act to $100,000,000. States will have responsibility for regulating advisers with less than $100,000,000 in assets under management. A primary reason for raising the asset under management threshold is to allow the SEC to focus its examination and ... market research, surveys and trends


Nov 12, 2009 ... has aggregated a target balance of $2.5 billion, and will remain at ... percent per annum of such member's gross revenues from ..... (E) Interests which are not included in the definition of the term ... industry trends, business articles and survey research
securities legal definition of securities. securities synonyms by ...
Securities are documents that merely represent an interest or a right in something else; they are not consumed or used in the same way as traditional consumer goods. Government regulation of consumer goods attempts to protect consumers from dangerous articles, misleading advertising, or illegal pricing practices. Securities laws, on the other hand, attempt to ensure that investors have an informed, accurate idea of the type of interest they are purchasing and its value. Types of securities include notes, stocks, treasury stocks, bonds, debentures, certificates of interest or participation in profit-sharing agreements, ... industry trends, business articles and survey research
Conference Committee limits the SEC's jurisdiction over certain insurance products
The Conference Committee bill passed by the joint House-Senate conferees on June 25, 2010 (the "Conference Bill"), contained an amendment limiting the Securities and Exchange Commission's (the "SEC") jurisdiction over certain insurance products—such as equity-indexed annuities, financial products that promise guaranteed returns and other similar products—effectively ending the jurisdictional fight that has been playing out since the SEC promulgated Rule 151A in December 2008. Please log in below to access the full article. If you are not an existing Lexology subscriber, please register ... market trends, news research and surveys resources
Closed-End Funds Oppose Activism With False Arguments
described the conflict between institutional investors in closed-end funds and the managers of those funds. Discount reduction measures can benefit shareholders, but they reduce the managers' fees and profits. So far this year at least eight funds have had stockholders voting to request such measures, so now the Directors of those funds -- who may also serve as Board members at dozens of other funds sponsored by the same manager -- face a tough choice. They can ignore the vote, and face a proxy fight next year for their Board seats or a proposal to remove the manager -- as has been threatened at the Singapore Fund ( SGF ). ... market trends, news research and surveys resources


Annual Report
The Securities Investor Protection Corporation (SIPC) had its origins in the difficult ...... In accordance with section 78lll (2) of SIPA, the definition ... technology research, surveys study and trend statistics
Attorneys for the Securities Investor Protection Corporation .... The Court recognizes that the application of the Net Equity definition to the ... technology research, surveys study and trend statistics
Holmes v. Secs. Investor Protection Corp., 503 U.S. 258 (1992).
NOTE: Where it is feasible, a syllabus (headnote) will be released, as is being done in connection with this case, at the time the opinion is issued. The syllabus constitutes no part of the opinion of the Court but has been prepared by the Reporter of Decisions for the convenience of the reader. See United States v. Detroit Lumber Co., 200 U.S. 321 , 337. SUPREME COURT OF THE UNITED STATES Syllabus No. 90-727 . Argued November 13, 1991 -- Decided March 24, 1992 Pursuant to its authority under the Securities Investor Protection Act (SIPA), respondent Securities Investor Protection Corporation (SIPC) sought, and ...
What is FDIC insured? - Yahoo! Answers
I have a investment brokerage account and noticed that they are trying to get me to FDIC insure my funds. What is that and is it worth it? The FDIC is an independent agency of the federal government created in 1933 in response to the thousands of bank failures that occurred in the 1920's and early 1930's. The Federal Deposit Insurance Corporation (FDIC) preserves and promotes public confidence in the U.S. financial system by insuring deposits in banks and thrift institutions The FDIC insures deposits only. It does not insure securities, mutual funds or similar types of investments that banks and thrift ...
WikiAnswers - Computer and Internet Fraud Questions including "How ...
Computer and Internet fraud is using computers to commit illegal acts including spamming, hacking, piracy, privacy invasion and much more. Total questions 800 How to prevent and report credit card fraud or identity theft? If you lose your credit or charge cards or if you realize they've been lost or stolen, immediately call the issuer(s). Many... How do you avoid credit card fraud? Here are some tips to help protect yourself from credit card fraud. Sign them as soon as they arrive. Carry them... What is the 'Nigerian Advance Fee Fraud'? Here's the answer from Ken Hollis and the alt.spam FAQ: ...