Search for: "Working Group on Securities Disclosure Authority"
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8 May 2024, 7:20 pm
When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
7 May 2024, 7:35 am
He had been a veteran in the securities industry for 37 years and worked at SagePoint from 2005 until December 2023. [read post]
5 May 2024, 9:01 pm
Such claims would only be recoverable where burden-sharing standards and robust disclosure standards are met. [read post]
5 May 2024, 6:44 pm
The report lists 11 categories of threats against lawyers under the law, and it recommends that Hong Kong authorities repeal the law, as well as relevant authorities repealing other laws restricting civil and political rights in Hong Kong. [read post]
2 May 2024, 12:35 pm
The firm reportedly has 244 disclosure events on its broker report or CRD. [read post]
1 May 2024, 10:16 pm
The firm reportedly has 250 disclosure events on its broker record including 189 regulatory events and 57 arbitrations among others. [read post]
27 Apr 2024, 6:00 am
Authorities are working to prepare for one by, for the first time, conducting a massive federal tabletop exercise focused on food and agriculture cybersecurity resilience. [read post]
27 Apr 2024, 6:00 am
Authorities are working to prepare for one by, for the first time, conducting a massive federal tabletop exercise focused on food and agriculture cybersecurity resilience. [read post]
26 Apr 2024, 12:18 pm
The suit was brought by the Chamber of Commerce and the Business Roundtable along with other business groups. [read post]
26 Apr 2024, 4:38 am
The suit was brought by the Chamber of Commerce and the Business Roundtable along with other business groups. [read post]
26 Apr 2024, 3:00 am
The introduction of the bill was prompted by the use of NDAs during negotiations between fast food industry and labor groups over a landmark deal to raise California’s minimum wage for fast food workers. [read post]
22 Apr 2024, 5:00 am
However, whatever the source of the authority, “if an official has authority to speak for the State, he may have the authority to do so on social media. [read post]
20 Apr 2024, 9:05 pm
The Regulatory Review: Can you explain the role of FINRA and how it works with the SEC to regulate brokerage firms and exchange markets? [read post]
19 Apr 2024, 3:00 am
Senate voted to dismiss two articles of impeachment against Homeland Security Secretary Alejandro Mayorkas, which allege he mismanaged an influx of migrants at the U.S. [read post]
16 Apr 2024, 10:42 pm
Bill of Rights and Working Group Bills Unsurprisingly, another common type of AI legislation is bills that would provide for commissions or working groups to study AI and come up with recommendations for dealing with the new technology. [read post]
15 Apr 2024, 10:00 pm
Data Security & Privacy State Law Comparison Tool Review the Data Breach Notification topic to compare state requirements on data breach notification including who must receive notice, when disclosure is required, acceptable methods of notice, and required information. [read post]
12 Apr 2024, 4:00 am
Watchdog Groups Say Texas Sen. [read post]
8 Apr 2024, 9:01 pm
Executive Order Summary Prohibited and Restricted Data Transactions Underscoring that the EO is not primarily driven by data protection concerns, President Biden used his national security authority under the Constitution, the International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.) [read post]
8 Apr 2024, 12:36 am
Russia instead held that “by adopting such laws the authorities reinforce stigma and prejudice and encourage homophobia, which is incompatible with the notions of equality, pluralism and tolerance inherent in a democratic society. [read post]
7 Apr 2024, 9:19 am
I was delighted to have been invited to participate in the Asser Institute: Center for International and European Law & University of Amsterdam Law School-[Spring Academy] Technologies of sustainability due diligence: Digital tools and global value chain regulations which takes place in The Hague, Netherlands from 8-12 April 2024. [read post]
