Search for: "Working Group on Securities Disclosure Authority"
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1 Nov 2022, 6:32 am
My praises to Professor Becht for putting together such an esteemed group. [read post]
2 Mar 2008, 9:32 am
What law authorizes financial damages? [read post]
5 Apr 2016, 4:36 am
While there were minor amendments to FISA in the 1990s, and one major one in 1994 when the authority to authorize physical searches was added, the government, basically, had a pretty good run in terms of the system working as it was designed. [read post]
25 Mar 2024, 10:00 pm
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
8 Jun 2015, 8:42 am
These disclosures can include IRS tax liens, judgments, and even criminal matters. [read post]
17 Mar 2020, 1:27 pm
Securities & Exchange Commission The U.S. [read post]
26 May 2020, 12:57 pm
However, Agnihotri has worked for 12 firms over the past 19 years in the securities industry, most of which have been expelled by FINRA or their registration terminated by the SEC: Spartan Capital Securities, LLC (CRD#: 146251) Aegis Capital Corp. [read post]
9 May 2017, 10:16 am
Sometimes there are public disclosures, sometimes there are not. [read post]
24 Jan 2024, 1:47 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
28 Jan 2020, 1:38 pm
As part of this work, she has worked extensively on employee benefit communication and other employee benefit plan legislative and regulatory policy, design, compliance and enforcement including testifying to the EBSA Advisory Council on Employee Welfare and Pension Benefit Plans in on the effectiveness of employee benefit plan disclosures during 2017 hearings on on reducing the burdens and increasing the effectiveness of ERISA mandated… [read post]
17 Apr 2018, 8:00 am
If you work at a typical company, employee actions and inadvertent present the greatest threat to the security of your data. [read post]
20 Jul 2021, 8:48 am
The real concern lays in the possible disclosure of relevant operational and financial information at the request of US securities laws and regulations, which may cause data leakage and threaten national security. [read post]
25 May 2017, 12:52 pm
Lawyers aren’t known as the most forward-thinking, technologically savvy group. [read post]
4 Sep 2020, 6:27 pm
This included negotiating an agreement with Chinese authorities on cross-border enforcement cooperation in 2013. [read post]
17 Jan 2013, 3:25 pm
Rotella, Jr. (215-851-8123 or srotella@reedsmith.com), or any other member of the Reed Smith Health Care Group with whom you work, if you would like additional information or if you have any questions. [read post]
17 Jan 2013, 3:40 pm
Rotella, Jr. (215-851-8123 or srotella@reedsmith.com), or any other member of the Reed Smith Health Care Group with whom you work, if you would like additional information or if you have any questions. [read post]
1 Dec 2020, 1:00 pm
The Working Group on Bribery of the Organization for Economic Co-operation and Development (OECD Working Group) has released its Phase 4 Report on the state of international anti-corruption and anti-bribery enforcement. [read post]
3 Dec 2023, 10:30 pm
Therefore, the disclosure must be seen as access to source IP addresses which have been retained for the purpose of combatting serious crime. [read post]
2 May 2024, 12:35 pm
The firm reportedly has 244 disclosure events on its broker report or CRD. [read post]
31 Jul 2023, 10:40 am
LinkedIn SLP Health Care Risk Management & Operations Group, HR & Benefits Update Compliance Group, and/or Coalition for Responsible Health Care Policy. [read post]
