Search for: "Working Group on Securities Disclosure Authority"
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27 Aug 2008, 12:00 am
Here's how it works. [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]
9 Mar 2017, 4:18 am
In any case, the information our government declares secret is available to a very large group of people. [read post]
20 May 2019, 2:38 am
Under this Regulation, the European Supervisory Authorities (ESAs) are asked produce joint technical standards on the public disclosure of “principal adverse impacts” of investment decisions on sustainability factors; product specific disclosure showing how products fulfil environmental or social characteristics; and how to market sustainable investments; the ESAs will coordinate work with each other to produce the requested draft technical standards. [read post]
27 Oct 2023, 10:41 am
Private Securities Transactions Engaging in private securities transactions without proper disclosure and approval from the firm can be a violation. [read post]
10 Nov 2015, 5:45 am
However, Savoie’s Brokercheck disclosures reveal several outside business activities including working for the Savoie Financla Group, LLC in Baton Rouge, LA and as being and independent insurance agent for various companies. [read post]
20 Sep 2023, 5:52 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]
24 Jul 2023, 3:58 am
All members use the collaborative mark to identify themselves as part of that group. [read post]
6 Jun 2023, 7:02 am
As Espionage Act cases develop and move toward the center of public view, the American audience should understand how these unusual prosecutions work. [read post]
31 Jul 2009, 12:37 pm
Co-chaired by Hans Hoogervorst, Chairman, AFM (the Netherlands Authority for the Financial Markets) and Harvey Goldschmid, former Commissioner, US Securities and Exchange Commission, the FCAG met six times from January to July 2009. [read post]
4 Jan 2024, 10:56 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
17 Jan 2013, 4:12 pm
Nationally recognized for her extensive work, publications and leadership on HIPAA and other privacy and data security concerns, Ms. [read post]
5 Aug 2024, 12:22 pm
HIPAA Right Of Access Rule HIPAA’s Privacy Rule right of access (“Access Rule”) is part of the national standards that HIPAA Privacy, Security, and Breach Notification Rules (“Privacy Rule”) require that Covered Entities and their business associates meet for protecting to protect individuals’ protected health information (“PHI”), limit uses and disclosures of PHI, and give individuals the right to timely access and to obtain a… [read post]
3 Sep 2013, 8:06 am
In Germany, the Federal Office of Criminal Investigation, the Bundeskriminalamt (BKA), has broad authority in investigations that concern national security or terrorism. [read post]
22 May 2012, 6:30 am
Bebchuk and Jackson are co-authors of Corporate Political Spending: Who Decides? [read post]
8 Aug 2021, 12:22 pm
If we can assist you or someone you work with in ESG matters, do not hesitate to reach out to me. [read post]
14 Feb 2023, 6:51 am
The report also contains these other suggestions for Congress that NASAA believes will help the capital markets:Congress should update and enhance the SEC’s civil penalties statute by increasing the statutory limits on civil monetary penalties, directly linking the size of these penalties to the scope of harm and associated investor losses, and substantially raising the financial stakes for repeat securities law violators.Congress should require the federal financial regulators to… [read post]
5 Apr 2023, 7:14 pm
The Financial Industry Regulatory Authority (FINRA) operates BrokerCheck and it provides valuable information to help investors make informed decisions before working with a financial professional. [read post]
6 Apr 2015, 6:00 am
In Gioe’s 14 year career he has worked at 13 different firms. [read post]
1 Nov 2022, 6:32 am
My praises to Professor Becht for putting together such an esteemed group. [read post]
