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13 Nov 2012, 12:33 am
In particular, the company said that “the Company’s processes procedures and controls related to financial reporting were not effective to ensure that amounts related to current taxes payable, certain deferred tax assets and liabilities, reserves for uncertain tax positions, the current and deferred income tax expense and related footnote disclosures were accurate. [read post]
18 Mar 2024, 5:23 pm
The Bankruptcy of a Corporation – The Case of Lehman Brothers Lehman Brothers, once the fourth-largest U.S. investment bank, filed for Chapter 11 bankruptcy on September 15, 2008.[1] At the time, the company reported $639 billion in assets.[2] A later reorganization plan estimated that about $50 billion in assets could be recovered.[3] Among these assets, a significant amount of corporate-owned artwork was among the assets pending auction.… [read post]
3 Dec 2009, 4:21 am
SEC Approves NYSE Amendments to Corporate Governance Requirements Right before Thanksgiving, the SEC approved the NYSE's amendments to its corporate governance requirements contained in Section 303A of the NYSE Listed Company Manual. [read post]
4 Dec 2020, 1:23 pm
Joseph Stone Capital, LLC Riza Hernandez Lincoln Financial Securities Corporation Wells Fargo Advisors, LLC Donald Padilla National Securities Corporation National Asset Management Jon Sanchez Independent Financial Group LLC Morgan Stanley Joseph Shimko, Jr. [read post]
15 Sep 2009, 11:03 pm
Another biggest regulatory body in the financial markets is Securities and exchange Board in India (SEBI). [read post]
17 Oct 2014, 6:03 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned brokerage firm Huntleigh Securities Corporation (Huntleigh) concerning allegations that the firm failed to establish and maintain a supervisory system regarding the sale of leveraged as well as inverse leveraged exchange traded funds (Non-Traditional ETFs) reasonably designed to achieve compliance with applicable securities laws. [read post]
14 Apr 2010, 8:00 am
Since compliance with the Brazilian Securities Market Commission’s (CVM) corporate governance standards is only voluntary, Bovespa’s three-tiered scheme of listing requirements now plays the most significant role in setting progressive corporate governance standards in Brazil. [read post]
26 May 2015, 11:17 am
Subject to specified limits, the proposed rule would allow investment grade, general obligation U.S. state and municipal bonds to be counted as high-quality liquid assets (HQLA) up to certain levels if they meet the same liquidity criteria that currently apply to corporate debt securities. [read post]
1 Mar 2011, 11:20 pm
The object of the Securitization and Reconstruction of Financial Assets and Enforcement of Security Interest Act, 2002 is to regulate Securitisation and Reconstruction of Financial Assets and Enforcement of Security Interest and for matters connected therewith or incidental thereto and the Act came into force on 17-12-2002. [read post]
16 Jan 2024, 6:35 am
The proposal describes NACs as corporations whose primary purpose is to manage, maintain, restore, and grow the value of natural assets. [read post]
26 Feb 2013, 6:21 am
Securities and Exchange Commission. [read post]
25 Feb 2014, 8:40 am
But for anyone who is interested, here is my written Congressional testimony for a House Financial Services Committee, Subcommittee on Capital Markets and GSEs hearing on "The Dodd-Frank Act's Impact on Asset-Backed Securities". [read post]
8 Jun 2022, 6:17 am
Nelson, J.D.The presumed purpose of the Lummis-Gillibrand Responsible Financial Innovation Act, sponsored by its namesakes, Sens. [read post]
5 Nov 2009, 11:10 am
The failures to detect the Madoff and Stanford Financial frauds demonstrated deep deficiencies in the existing securities regulatory structure. [read post]
26 Oct 2015, 6:44 am
The corporate obligations were secured by security interests in all-business-assets of said corporations. [read post]
19 Apr 2022, 7:21 am
(CRD#:10641), New Bedford, MA 01/10/2000 – 03/12/2008, LPL FINANCIAL CORPORATION (CRD#:6413), E. [read post]
31 Oct 2011, 2:14 pm
The lawsuit is based on BNYM's alleged scheme to defraud custodial clients, for whom it holds domestic and international financial assets, including currency and securities. [read post]
11 Sep 2012, 4:10 am
Bankruptcy laws provide Americans with the ability to retain necessary assets to start fresh and regain financial freedom. [read post]
6 Jan 2015, 10:06 am
To the extent that you purchased the investment at the recommendation of a financial advisor, the securities attorneys of The White Law Group may be able to help you recover your losses through a FINRA arbitration claim. [read post]
11 Jun 2008, 11:33 am
To this day, auction-rate securities investors find themselves owning frozen assets. [read post]
