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24 Aug 2022, 9:01 pm
On December 16, 2021, the Office of the Comptroller of the Currency (“OCC”) announced draft principles “designed to support the identification and management of climate-related financial risks with more than $100 billion in total consolidated assets,”[19] and the OCC requested feedback from market participants on all aspects of the draft principles to inform future guidance on climate-related financial risk. [read post]
20 Oct 2011, 7:17 am
Data compiled from the Providentand#39;s liquidating trustee web site as well as FINRA public disclosures shows the following firms have exited the brokerage business in the lastandnbsp;few years.andnbsp; Name of Companyandnbsp;and date of withdrawal Workman Securities Corp. - 10/1/2011 United Equity Securities LLC - 10/1/2011 Boogie Investment Group Inc. - 9/1/2011 WFP Securities Corp. - 8/1/2011 Investlinc Securities LLC/Meadowbrook… [read post]
22 Jul 2008, 8:13 pm
The loss reflects, among other things, Wachovia's ill-advised acquisition of Golden West Financial Corp. in 2006. [read post]
15 Mar 2021, 7:13 am
Previous employers include LPL Financial LLC (CRD#:6413), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), and Chase Investment Services Corp. [read post]
8 May 2012, 5:15 pm
See, e.g., In re JJMM International Corp., Case No. 11-76540-ast (Bankr. [read post]
26 Dec 2017, 3:07 am
” Following up on my blog about the topic of deferred tax assets being impaired & the need to consider whether an Item 2.06 Form 8-K is required, the SEC issued this statement on Friday – along with a new Staff Accounting Bulletin No. 118 (from OCA & Corp Fin) and CDI 110.02 (from Corp Fin). [read post]
8 Sep 2022, 9:01 pm
Tailored disclosures exist elsewhere — for example, asset-backed securities disclosure[12] differs from that for equities. [read post]
21 Aug 2022, 7:08 am
Background Trident Acquisitions Corp. was a special purpose acquisition company (SPAC) formed in 2016. [read post]
18 Jul 2012, 8:29 pm
Over a million people are licensed to sell securities or act as financial advisors in the U.S. [read post]
16 Feb 2024, 12:34 pm
(Photo by Jefferson Siegel-Pool/Getty Images) The post Trump Must Pay $450m in Civil Fraud Judgment, But Now Avoids Corp Death Penalty appeared first on Just Security. [read post]
28 Aug 2023, 12:29 pm
Background Lionheart Acquisition Corp. [read post]
18 Jun 2011, 7:47 pm
While the CDO’s marketing collateral said that GSCP, GSC Capital Corp. [read post]
6 Jan 2009, 3:49 am
Tune in later today for a Securities Docket webcast entitled "2008 Year in Review â [read post]
13 Jun 2022, 6:56 am
Charles Schwab Corp. shares slid 1.7% Friday, after the brokerage and wealth-management company said it expects to book a charge of at least $200 million in the second quarter relating to a Securities and Exchange Commission investigation of its robo-advisory business. [read post]
5 Feb 2018, 12:00 am
Between 2005 and 2012, it is alleged that VEON made or attempted to make millions of dollars in improper payments to Uzbekistan’s President’s daughter to secure certain 3G frequencies, obtain telecommunication assets, and access the Uzbek market. [read post]
14 May 2014, 7:02 am
Authentidate Holding Corp., 369 Fed. [read post]
27 Oct 2011, 12:30 pm
• QA3 Financial Corp. [read post]
19 Jul 2011, 9:11 pm
The securities in question were backed by mortgage loans that Wells Fargo or its affiliates had bought or originated, which were issued through Wells Fargo Asset Securities Corp. in July and October 2005 and September 2006. [read post]
10 Feb 2011, 11:56 am
Also, CalPERS has a shareholder lawsuit against Bank of America Corp. [read post]
5 Aug 2022, 4:15 am
We continue to see comments from the Staff that are very much focused on this topic, and the WSJ recently reported on Corp Fin’s efforts in this area using data from Audit Analytics. [read post]
