Search for: "Working Group on Securities Disclosure Authority"
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14 Apr 2015, 6:46 am
In Tedeschi’s 20 year career he has worked at 17 different firms. [read post]
9 Jan 2020, 7:28 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
8 Nov 2015, 4:50 pm
Schneiderman has raised the possibility that an enforcement action against the energy giant relating to its climate change-related disclosures may be in the works. [read post]
23 Mar 2016, 2:38 pm
Stamer works with businesses and their [read post]
15 May 2020, 1:57 pm
Categorizing employees into separate groups based on health risks. [read post]
23 Dec 2021, 9:59 am
A new table would report any options granted within 14 days of the release of material nonpublic information and the market price of the underlying securities the day before and after that disclosure. [read post]
24 Jun 2020, 1:45 pm
Has the data privacy and security addenda appropriately restricted further use and disclosure of the data collected? [read post]
12 Sep 2015, 12:56 pm
Such trading occurs when a broker sells securities without the prior authority from the investor. [read post]
11 Sep 2008, 3:52 pm
To address these concerns, the Group of Seven finance ministers last October called on the IMF to develop a code of conduct to address SWF transparency, governance, and disclosure. [read post]
26 Sep 2022, 8:59 am
Appelbaum reportedly agreed to sanctions by the Financial Industry Regulatory Authority to be barred from the securities industry after he allegedly failed to provide information in its investigation. [read post]
6 Aug 2024, 10:00 am
Stay informed on SECURE 2.0 Act developments using our SECURE 2.0 Act Guidance Tracker . [read post]
11 Jul 2022, 10:52 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
25 Apr 2013, 5:37 am
Employer and union group health plan sponsors and insurers of group and individual health plans (Health Plans) generally will need to update their Health Plans’ Summary of Benefits and Coverage (SBC) to comply with updates to the SBC disclosure mandates to the Patient Protection and Affordable Care Act (Affordable Care Act) the Departments of Health & Human Services (HHS), Labor (DOL) and Treasury (IRS)(collectively, the Agencies) announced April 23, 2013. [read post]
14 Jan 2016, 7:57 am
There were concerns from the accounting industry and others about what Chairman Doty described as the “unintended consequences of such a disclosure in the auditor’s report,” such as potential liability under federal securities laws and practical concerns surrounding the need to obtain consents for identified parties in connection with registered securities offerings. [read post]
15 May 2020, 5:00 pm
The SEC is working with foreign securities regulators and international prudential banking authorities on crisis-related matters, Clayton said. [read post]
17 Apr 2023, 6:05 am
Teixeira’s choice of a gaming platform to make disclosures to a group of boys some of whom may not even have been old enough to enlist in the military, in an apparent attempt to impress them, underscores this point. [read post]
18 Jun 2018, 3:00 am
Here are my three main blogs on the securities law aspects of this topic: – A Delicate Disclosure Issue: Steve Jobs’ Health – More on Steve Jobs & Disclosure of Health Issues – A Recap of Thoughts on Apple & Illness Disclosures – Broc Romanek [read post]
19 May 2016, 8:51 am
Elizabeth Stoycheff, Wayne State University assistant professor of journalism and new media and study author, writes: This is the first study to provide empirical evidence that the government’s online surveillance programs may threaten the disclosure of minority views and contribute to the reinforcement of majority opinion… These individuals expressed that surveillance was necessary for maintaining national security and they have nothing to hide. [read post]
30 Nov 2021, 8:01 am
Both brokers worked for Woodstock Financial Group, Inc., at the same time. [read post]
10 Jun 2021, 2:10 am
If you are a financial service employee, such as a broker, investment advisor, wealth manager, capital acquisition broker, work with funding portals or provide similar services, you are mostly likely subject to rules and regulations governed by the Financial Industry Regulatory Authority (FINRA). [read post]
