Search for: "U. S. Securities and Exchange Commission"
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20 Jul 2012, 8:15 pm
An overly-rich EHBs definition will require that individual and insured small group employer health plans, insurers, state Medicaid and Exchanges and the federal exchanges provide, and individuals in these programs purchase, a much richer set of benefits than is currently provided to the majority of employees under the self-insured, employer-sponsored health plans under which they are covered when most are struggling to deal with already over-extended… [read post]
17 Jul 2012, 6:00 am
On July 11, 2012, the Securities and Exchange Commission (SEC) approved a new rule, which will require the national securities exchanges and self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA) to establish a market-wide consolidated audit trail. [read post]
13 Jun 2012, 8:10 am
Sporkin, Chief of the Office of Market Intelligence (OMI) at the Securities and Exchange Commission. [read post]
2 May 2012, 11:29 am
., Securities and Exchange Commission is suing SinoTech Energy Ltd. [read post]
1 May 2012, 11:32 am
On the other hand, data manipulation software that uses Security Socket Layer (SSL) encryption usually qualifies for BIS’s “Mass Market Encryption” exception for items classified under Export Control Classification Numbers 5A992 and 5D992. [read post]
30 Apr 2012, 6:47 am
For example, as discussed below, after a long series of no-action letters, the Securities and Exchange Commission (“SEC”) issued interpretive guidance providing that securities issued or guaranteed by U.S. branches of a foreign bank (but not its non-U.S. branches) could rely on the exemption from registration afforded to securities issued or guaranteed by a bank under Section 3(a)(2) of the Securities Act of 1933… [read post]
27 Mar 2012, 8:12 am
There’s a pool of loans that we’re looking to buy for our new trust… the DOER Trust 2012, which will end up being an RMBS, or Residential Mortgage-backed Security. [read post]
23 Mar 2012, 9:14 am
Department of State, the Federal Communications Commission, the U.S. [read post]
6 Mar 2012, 11:16 am
Over time most providers and patients should implement and utilize certified electronic health records that meet functionality, interoperability, and security standards, and participate in health information exchange across providers and care settings so that:[9] Patients’ clinically relevant information is available to all providers at the point of care and to patients through electronic health record systems. [read post]
4 Mar 2012, 2:00 pm
Conflict of rights Sarah Plaka on the Halsbury’s Law Exchange blog takes issue with the comments of Sir Trevor Philips, head of the Equality and Human Rights Commission, made at a seminar on “super-diverse” societies. [read post]
24 Feb 2012, 3:24 pm
Court of Appeals for the Second Circuit says that the Securities and Exchange Commission did not abuse its discretion when it determined that broker Scott Mathis “willfully” withheld information from the Financial Industry Regulatory Authority about tax liens. [read post]
13 Feb 2012, 7:20 am
Securities and Exchange Commission. [read post]
13 Feb 2012, 7:20 am
Securities and Exchange Commission. [read post]
19 Jan 2012, 3:17 am
Securities and Exchange Commission in the case against Newman and another former employee, Jesse Tortora. [read post]
16 Jan 2012, 12:47 pm
Half of the annual performance evaluation of ISOs is based on the adjudicator's demonstrated ability to detect and report suspected immigration fraud and national-security threats (the other half is based on the quality of adjudications). [read post]
5 Jan 2012, 9:31 am
Haupt was subsequently tried by Military Commission and sent to the electric chair. [read post]
30 Dec 2011, 1:23 pm
No company with a class of securities registered under section 12 of the Securities Exchange Act of 1934 (15 U.S.C. 78l), or that is required to file reports under section 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78o(d)), including any subsidiary or affiliate whose financial information is included in the consolidated financial statements of such company, . . . or any officer, employee, contractor, subcontractor, or agent of such company, .… [read post]
17 Dec 2011, 3:03 pm
Rakoff, in a 15 page opinion, rejected the proposed agreement between Citigroup and the Securities and Exchange Commission to settle charges filed by the SEC against Citigroup accusing the company of "selling investors slices of a $1 billion mortgage-bond deal called Class V Funding III, without disclosing it was betting against $500 million of those assets. [read post]
15 Nov 2011, 4:05 pm
The Unruly of Law has more on the facts and the film company’s defence. [read post]
11 Nov 2011, 3:48 pm
Less than a month after UBS Securities, LLC agreed to pay $12M to settle Financial Industry Regulatory Authority claims of supervisory failures and violating regulation SHO in securities short sales, the broker-dealer has now consented to an $8M penalty to settle Securities and Exchange Commission charges over poor recordkeeping related to the short sales. [read post]
