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15 Sep 2011, 12:41 pm
A Senate Appropriations Committee subcommittee on financial services produced legislation increasing the SEC's FY 2012 budget by 19 percent to enable the SEC to fulfill its mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. [read post]
25 Sep 2011, 7:31 pm
Note the coherent, orderly manner in which Shanahan logically processes the issues, including: The facts and the alleged offence commited (with video); The offender's submissions; The Rule involved and the finding that it has been infringed; The consequence of the offence in terms of injuries resulting; The offender's prior disciplinary history, if any; The penalty imposed. … [read post]
5 Jul 2011, 7:34 am
" Misconduct connected with the work includes "mismanagement of a position of employment by action or inaction, neglect that jeopardizes the life or property of another, intentional wrongdoing or malfeasance, intentional violation of a law, or violation of a policy or rule adopted to ensure the orderly work and the safety of employees. [read post]
26 Nov 2010, 4:19 pm
The hedge fund industry has urged regulators implementing the orderly liquidation provisions of the Dodd-Frank Act to provide for the fair market valuation of securities of failing financial firms rather than the fixed valuations proposed for government securities and contemplated for other securities. [read post]
23 Jun 2009, 1:41 pm
I love "best" lists, because they're usually:1) short and snappy.2) based on a decent amount of research, and3) give you a sense (maybe artificial) that the world can be ranked in an orderly way.And this seems to be the season for best lists. [read post]
2 Nov 2011, 3:00 am
The orderly administration of a parent's estate will often revolve around the family home. [read post]
27 Jun 2012, 7:00 am
The SEC has announced that it is extending the deadline for investment advisers to comply with its pay-to-play rule ban against third-party solicitations in order to have an "orderly transition". [read post]
14 Jun 2012, 3:49 pm
The Senate Appropriation Committee has reported out to the full Senate legislation providing $1.566 billion for the SEC in FY 2013, an increase of $245 million (19%) above the FY 2012 enacted level, to enable the SEC to fulfill its mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. [read post]
28 Jun 2018, 6:33 am
Our Mission To protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. [read post]
20 Dec 2018, 11:30 am
The UN General Assembly voted on Wednesday to endorse the Global Compact for Safe, Orderly and Regular Migration. [read post]
9 Mar 2008, 12:40 am
"Assistant District Attorney Chuck Hughes, who handled more than 50 cases and won all but a handful, said his philosophy was simple: "Look for people with a stake in an orderly society. [read post]
29 Jun 2009, 3:37 am
On 24 June 2009, the FSA published its Annual Report for the year 1 April 2008 to 31 March 2009.The report details how the FSA performed during the year against its statutory objectives and how it has delivered outcomes for both firms and consumers under the three headings which cover all the FSA's work: to promote efficient, orderly and fair markets, help retail consumers achieve a fair deal and improve its business capability and effectiveness.Chairman of the FSA, Lord Adair Turner,… [read post]
12 Jun 2012, 8:53 pm
A bill reported out of the Financial Services and General Government Subcommittee of the Senate Appropriations Committee would provide $1.566 billion, an increase of $245 million (19%) above the fiscal year 2012 enacted level, to enable the SEC to fulfill its mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. [read post]
14 May 2012, 10:00 am
The primary purposes of a revocable trust are: probate avoidance and orderly distribution of assets after death. [read post]
8 Jan 2018, 1:10 pm
To allow for an orderly transition, she has determined to delay the termination for 18 months, which means the designation will terminate on Sept. 9, 2019. [read post]
4 Jul 2007, 4:28 am
The link is on the left.The vote for Chief Judge ended in a run-off:Memo From Chris Stotz/17th Circuit Public Information Officer:"In an orderly and credible special election for chief judge of the 17th Judicial Circuit of Florida, monitored by all three chief judge candidates as well as Judge Peter Weinstein, a majority was not reached. [read post]
8 Apr 2020, 6:15 am
The businesses that are open -particularly grocery stores and big-box chains – are likewise struggling to restock and maintain safe and orderly operations. [read post]
13 Mar 2024, 2:46 am
Background The PRA confirmed in its business plan for 2022/2023 that it would work to increase confidence that firms can exit the market with minimal disruption in an orderly way. [read post]
7 Feb 2007, 5:25 am
The rules governing judicial conduct require judges to be an "exemplar of dignity and decorum and to preside over disputes in a lawful, orderly manner. [read post]
28 Oct 2010, 3:00 am
The issue is this case dealt with whether an estate trustee of an estate could be removed without providing for the appointment of an alternate estate trustee or otherwise providing for the orderly administration of the estate. [read post]
