Search for: "Alabama Securities Commission"
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5 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, July 30, 2022 Tags: Broker-dealers, Financial regulation, Financial technology, FINRA, High-frequency trading, SEC, Securities regulation What Do Elevated Shareholder Expectations Mean for Large Company Boards and Compensation Programs? [read post]
22 Jul 2022, 4:00 am
From the States and Municipalities Alabama – Secretary of State: Federal groups supporting Alabama candidates must register with state Yahoo – Brian Lyman (Montgomery Advertiser) | Published: 7/19/2022 The Alabama secretary of state’s office said federal organizations contributing to state campaigns will have to file campaign finance reports with the state. [read post]
15 Jul 2022, 4:00 am
From the States and Municipalities Alabama – Alabama Ethics Commission Says It Doesn’t Have to Share Exculpatory Information with Accused Yahoo News – Brian Lyman (Montgomery Advertiser) | Published: 7/13/2022 The Alabama Ethics Commission said it did not have to disclose evidence that could potentially clear a person accused of violating state ethics laws during an investigation. [read post]
5 Jul 2022, 6:27 am
In partial satisfaction of the judgment, Alabama officials confiscated their cars, their homes, and their bank accounts. [read post]
1 Jul 2022, 1:12 pm
The physician must have access to the patient’s medical records, must maintain complete and accurate medical records in compliance with the regulations of the Alabama Board of Medical Examiners and Alabama Medical Licensure Commission, and must be able to produce such records upon demand by the patient or such Board of Commission. [read post]
24 Jun 2022, 4:00 am
National/Federal 2022 Primary Results: Alabama Senate runoff, D.C. and Virginia primaries CBS News – Fin Gómez and Aaron Navarro | Published: 6/21/2022 Virginia and the District of Columbia held primaries on June 21 and Georgia also held runoff elections, but perhaps the most closely watched race was the Alabama Republican U.S. [read post]
17 Jun 2022, 4:28 am
“Why have a commission if we just get overridden by the court system? [read post]
16 Jun 2022, 1:01 pm
He works zealously to secure a favorable result for the people who care for our community. [read post]
Recovery Options For Investors in National Realty Investment Advisors as Chapter 11 Case Is Pending.
9 Jun 2022, 9:31 am
In 2021, an investigation was launched by the Securities and Exchange Commission, the Alabama Department of Securities, the New Jersey Securities Division, and the Illinois Securities Department into the working of NRIA and investor solicitations. [read post]
7 Jun 2022, 5:55 am
DHS memo, CNN November 9 FBI analyst email Analyst in Huntsville, Alabama, sends email to colleagues warning of post-election violence by the far right. [read post]
12 May 2022, 9:03 pm
IN THE NEWS An Alabama law that bans gender-affirming care for individuals under 19 years old took effect on May 8, 2022. [read post]
11 May 2022, 8:55 am
” I recently blogged about the Alabama Securities Commission’s (“ASC”) intervention into an expungement award confirmation proceeding and the ASC’s very dim view of the “straight-in” expungement process. [read post]
6 May 2022, 12:19 pm
A Florida state court is now entertaining a case where the Alabama Securities Commission is seeking to vacate an award that granted expungement of customer complaints from a UBS broker’s record. [read post]
4 May 2022, 9:01 pm
Nasdaq’s Board Diversity Rule, approved by the Securities and Exchange Commission (SEC) in August 2021, is the subject of an ongoing, high stakes court battle in the United States Court of Appeals for the Fifth Circuit. [read post]
2 May 2022, 12:25 pm
Texas and Alabama Meanwhile, the Texas State Securities Board and Alabama Securities Commission both issued cease-and-desist orders against individuals selling NFTs to fund the creation of metaverse casinos. [read post]
15 Apr 2022, 4:00 am
From the States and Municipalities Alabama – Selma Is Tired of Being Just a Symbol – They Want Change MSN – Emmanuel Fenton (Washington Post) | Published: 4/11/2022 On March 7, 1965, more than 500 demonstrators marched in Selma, Alabama, to protest policies designed to keep Black people from voting. [read post]
30 Mar 2022, 11:44 am
It was amazing, especially for a person who grew up in Alabama to go to a place that cold. [read post]
23 Mar 2022, 7:50 am
Smith was prosecuted for theft of trade secrets in the Northern District of Florida but Smith had remained in Alabama during the commission of the crime where Smith was located when he took the trade secrets. [read post]
28 Feb 2022, 12:29 pm
The federal Equal Employment Opportunity Commission has come out in opposition to hair discrimination. [read post]
16 Feb 2022, 11:55 am
Just Security has assembled a nearly book-length timeline of Brooks’s pre- and post-Jan. 6 conduct. [read post]
