Search for: "Data Exchange Corporation"
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29 Jan 2024, 12:00 pm
The representative suggested short-term trades in corporate bonds and preferred securities on numerous occasions, causing over $900,000 in losses for 10 clients. [read post]
29 Jan 2024, 9:58 am
Section 3: exposures to non-financial corporates. [read post]
26 Jan 2024, 1:40 pm
Data Security Breach September 27, 2018 –The Securities and Exchange Commission (SEC) has censured and fined Voya Financial Advisors $1 million over a data security breach in April 2016. [read post]
25 Jan 2024, 6:06 pm
This is very different from the dividends investors receive from large corporations that trade on national exchanges, which are typically derived solely from earnings. [read post]
25 Jan 2024, 2:02 pm
These back-and-forth exchanges increase costs and can delay progress on other deal documents. [read post]
25 Jan 2024, 4:06 am
In recent years, hackers seeking access to sensitive corporate information have targeted law firms which represent parties in arbitrations and litigation, see Xiumei Dong, Law Firm Data Breaches Continue to Rise, Law360 (Feb. 6, 2023); Isabel Vincent, Massive Cybersecurity Breach Hits Biggest U.S. [read post]
24 Jan 2024, 4:29 pm
It was an active year for fraud enforcement at the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]
24 Jan 2024, 7:51 am
Kohn described how, “The data provides a strong justification for immediately amending Dodd-Frank and other whistleblower laws to protect internal whistleblowers. [read post]
24 Jan 2024, 3:22 am
The data itself should be “rock solid confidentially” and maintained separately from employment records. [read post]
23 Jan 2024, 9:01 pm
In exchange, ComEd received rate hikes providing the company in excess of $150 million, and potentially billions in subsidies for its financially troubled nuclear power plants. [read post]
23 Jan 2024, 5:40 am
In the aftermath of the atrocities committed against the Israeli population by Hamas fighters on October 7, 2023, hostilities between the State of Israel’s military and the terrorist group have escalated to unprecedented heights. [read post]
22 Jan 2024, 9:01 pm
Alan served as Director of the Division of Corporation Finance (“CorpFin”) from 1970 to 1976. [read post]
19 Jan 2024, 3:00 am
Court Rejects Twitter’s Claim of Right to Alert Trump to Jan. 6 Search MSN – Rachel Weiner (Washington Post) | Published: 1/16/2024 A federal appeals court rejected Twitter’s claim that Donald Trump should have been alerted to the existence of a search warrant for his data by prosecutors investigating interference in the 2020 election, leaving in place a $350,000 fine imposed on the social media company for not complying on time. [read post]
18 Jan 2024, 9:01 pm
On January 10, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) announced parallel resolutions with SAP, a German software company, to resolve investigations into violations of the Foreign Corrupt Practices Act (FCPA). [read post]
18 Jan 2024, 2:24 pm
Pix Credit here Be careful what you wish for. [read post]
18 Jan 2024, 10:42 am
Internal corporate informants are also targeted and physically threatened. [read post]
16 Jan 2024, 2:15 pm
Many of the large national corporations (ones with at least 200 employees) polled have had to make decisions regarding coverage for abortions offered. [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
16 Jan 2024, 8:05 am
Securities and Exchange Commission (SEC). [read post]
10 Jan 2024, 9:05 pm
In a typical year, the Securities and Exchange Commission (SEC) brings a few dozen enforcement cases against individuals for insider trader. [read post]
