Securities investor protection update on matters related to the Security Investor Protection Corporation : report to congressional requesters by United States. General Accounting Office

Cover of: Securities investor protection | United States. General Accounting Office

Published by GAO in Washington, D.C .

Written in English

Read online

Places:

  • United States.

Subjects:

  • Securities Investor Protection Corporation.,
  • Securities -- United States.

Edition Notes

Book details

StatementUnited States General Accounting Office.
Classifications
LC ClassificationsHG4963 .U56 2003
The Physical Object
Paginationii, 36 p. ;
Number of Pages36
ID Numbers
Open LibraryOL3764741M
LC Control Number2003479849

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SIPC’s mission is to promote confidence in securities markets by seeking to return customers’ cash and securities when a broker-dealer fails. Regulation of Issuers and Investor Protection in the US and EU: A Transatlantic Comparison of the Basics of Securities and Corporate Law [Van der Schee, Pieter A.] on *FREE* shipping on qualifying offers.

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SECURITIES INVESTOR PROTECTION ACT OF [AS AMENDED THROUGH P.L. APPROVED JANUARY 3, ] AN ACT to provide greater protection for customers of registered brokers and dealers and members of national securities exchanges. Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled.

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Securities and Exchange Commission F Street, N.E. Washington, D.C. Dear Chairman Clayton: On behalf of the Board of Directors I submit herewith the Forty-seventh Annual Report of the Securities Investor Protection Corporation pursuant to the provisions of Section 11(c)(2) of the Securities Investor Protection Act of Respectfully.

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Technical Committee is issuing this Bulletin regarding Investor Protection in the New Economy. The Bulletin is intended to remind investors, market professionals, and regulators that in the robust but volatile conditions that the New Economy has brought to many countries’ securities markets, it is important not to lose perspective.

(a) Except as otherwise provided in this Rule, each member shall once every calendar year provide in writing (which may be electronic) to each customer the following items of information: (1) FINRA BrokerCheck Hotline Number; (2) FINRA Web site address; and (3) A sta.

The Securities Investor Protection Corporation or SIPC is an integral part of investor protection in America. This agency provides a claims system for incidents of “lost or missing securities” that may happen in a brokerage failure or similar situation. The SIPC outlines the specific eligibility for its services on its web site.

The Securities Investor Protection Corporation (SIPC / ˈ s ɪ p ɪ k /) is a federally mandated, non-profit, member-funded, United States corporation created under the Securities Investor Protection Act (SIPA) of that mandates membership of most US-registered broker-dealers. The Securities Commission Malaysia, abbreviated SC, a statutory body entrusted with the responsibility of regulating and systematically developing the capital markets in Malaysia.

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The SIPC will cover up to $, in securities, including a $, limit for cash held in a brokerage account. SEC's new investor protection rule won't end the fiduciary debate who focuses on securities law and is a partner with the law firm of Drinker Biddle.

director of investor protection for. Securities Investor Protection Corporation. The Securities Investor Protection Corporation was created by an act of Congress in to cover investors against the loss of cash and securities held by member brokerage firms that become insolvent.

The SIPC does not function like the Federal Deposit Insurance Corporation. The Securities Investors Protection Corporation (SIPC) was mandated by an act of Congress called The Securities Investors Protection Act of While the SIPC was created by a federal law, it is.

FINRA Launches New Data on Treasury Securities Trading Volume. FINRA is a not-for-profit organization dedicated to investor protection and market integrity.

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Securities Investor Protection Corporation: a history and explanation of operations. [Securities Investor Protection Corporation.].

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