Search for: "Cooper Industries, Inc."
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15 Nov 2023, 1:14 am
However, given that this is a fairly new and continuously developing area, specific procedures to protect data and goods sent into space are still in progress and will be determined by the Space Station Multilateral Coordination Board.[15] The board is a cooperative body that comprises members from each of the ISS partner states.[16] Art Destined for Celestial Bodies and their Orbits Another instance of art and cultural heritage law in space is art on celestial bodies or art that is in… [read post]
14 Nov 2023, 9:01 pm
Industry Shaping Initiatives In fiscal year 2023, the Division conducted a number of initiatives to proactively investigate recurring or widespread violations in the securities industry. [read post]
8 Nov 2023, 9:24 am
(CRD#: 8158/SEC#: 801-7571,8-497) and the Financial Industry Regulatory Authority Inc. [read post]
5 Nov 2023, 6:03 pm
In a recent regulatory development, BrokerBank Securities, Inc. and its CEO, Philip Paul Wright, faced severe sanctions from the Financial Industry Regulatory Authority (FINRA). [read post]
2 Nov 2023, 6:55 am
He has been in the industry since 1999. [read post]
1 Nov 2023, 9:02 pm
Bruce Church, Inc., 397 U.S. 137 (1970), which asks whether the burdens on interstate commerce outweigh the putative local benefits of the statute. [read post]
1 Nov 2023, 9:01 pm
Companies in these areas and industries should remain vigilant; their efforts will show the extent to which they are able and willing to cooperate with international authorities to detect and deter potential antitrust violations. [read post]
26 Oct 2023, 8:53 am
Financial Advisors who have engaged in misconduct or otherwise violated FINRA rules or regulations frequently surrender their license rather than cooperate in a FINRA investigation. [read post]
26 Oct 2023, 8:35 am
World Group Securities, Inc. [read post]
26 Oct 2023, 7:49 am
Daniel Santos PFS Investments Inc. [read post]
25 Oct 2023, 12:49 pm
Deutsche Bank Securities Inc. [read post]
25 Oct 2023, 12:36 pm
Andrew Grezlak Cambridge Investment Research, Inc. [read post]
25 Oct 2023, 12:29 pm
Amsouth Investment Services, Inc. [read post]
25 Oct 2023, 8:30 am
Inc. [read post]
25 Oct 2023, 8:05 am
Truist Investment Services, Inc. [read post]
25 Oct 2023, 7:36 am
Financial Advisors who have engaged in misconduct or otherwise violated FINRA rules or regulations frequently surrender their license rather than cooperate in a FINRA investigation. [read post]
24 Oct 2023, 9:01 pm
When we recommend a new enforcement action, we put a lot of thought into making sure that our charging documents, whether settled or litigated, clearly telegraph the basis of the misconduct to industry participants. [read post]
18 Oct 2023, 9:01 pm
Like the SEC’s prior action against BNY Mellon Investment Adviser Inc. [read post]
3 Oct 2023, 9:01 pm
SEC press release │SEC company order | SEC CEO order | SEC HCCIR order | SEC CFO order SEC gives cooperation credit for self-reporting disclosure failure In the Matter of View, Inc. [read post]
27 Sep 2023, 9:05 pm
Meat industry spokesmen always say they are cooperating with authorities and that their company policy is to prevent minors from working in hazardous jobs violating the law. [read post]
