Search for: "National Securities Clearing Corporation"
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13 Feb 2007, 7:41 pm
Federal agencies are supposed to use the risk assessment methodologies published by the National Institute of Standards and Technology (“NIST”), which has been influential in federal security regulation development and therefore should be taken into account in assessing compliance with federal regulations. [read post]
24 Dec 2019, 7:19 am
Morgan Securities LLC World Financial Group Williams, Minjoe Wells Fargo Clearing Services, LLC National Securities Corporation Wright, Tiana Northwestern Mutual Investment Services LLC FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
26 Jan 2011, 12:54 am
One notable exception is the statute of limitations, an issue where the Supreme Court provided a favorable ruling this year in Merck.* Of course, that ruling was influenced by the heightened requirements for pleading scienter in a securities fraud action that make it virtually impossible for an investor to assert a claim of fraud until there is clear evidence of fraudulent intent. [read post]
29 Apr 2022, 4:00 am
However, the 27-nation EU just did what she demanded. [read post]
11 Dec 2010, 6:08 pm
Confirm the Financial Claims Scheme as a permanent feature of the financial system (but the current $1 million cap is still being reviewed) Introduce a further $4 billion investment to support the Residential Mortgage Backed Securities market Accelerate the development of a ‘bullet bond’ structure for RMBS issuance to strengthen and diversify RMBS funding for smaller lenders Financial system safety: The Government will: Allow all banks, credit unions and building societies to… [read post]
15 May 2012, 7:54 am
While the program explored a broad range of issues that must be addressed and risks that must be managed in cloud computing transactions, the presenters made it clear that privacy and data security issues are in the forefront. [read post]
14 Apr 2022, 3:30 am
Preferred Risk depicted a corporate entity that insured every conceivable risk—but only for those classified as meritorious. [read post]
4 Feb 2021, 10:41 am
Without it, we’re all at risk of exploitation—by authoritarian governments, over-reaching police, nosy corporations, and online criminals. [read post]
21 Jan 2013, 3:01 pm
An obvious example is the use of text messaging to contact or solicit customers.It is not clear if BYOD is a fad. [read post]
13 Jun 2018, 7:02 am
The Sarbanes Oxley Act also brought changes to the SEC’s filing review process by directing SEC staff to regularly and systematically review the filings of issuers who report under Exchange Act Section 13(a) and who have a class of securities listed on a national securities exchange or association. [read post]
7 Oct 2011, 1:33 pm
In addition, a representative of the Office must be afforded the opportunity to participate in any inspection or examination of a security-based swap dealer, major security-based swap participant, security-based swap data repository, or clearing agency that clears security-based swaps. [read post]
19 Sep 2018, 10:52 am
In a corporate context, the responsibility to protect human rights has to be translated into mechanisms and practices compatible with corporate governance mechanisms. [read post]
8 Jul 2013, 8:02 am
I am not clear why you need to register a presence in the US at all. [read post]
4 Jun 2018, 6:30 am
National Securities Corp. [read post]
28 Jul 2017, 5:00 am
The SEC’s recently filed case against Alpine Securities Corporation weighed heavily on the discussion and Q&A session. [read post]
29 Sep 2007, 6:07 am
But the Patriot Act amended the SMTJ statute to make clear that it covers overseas bases, at least "with respect to offenses committed by or against a national of the United States. [read post]
28 Aug 2018, 2:54 pm
Earlier this summer, National Beverage Corp. was hit with a securities suit following allegations that its CEO had sexually harassed company employees (as discussed here). [read post]
8 Aug 2014, 3:35 pm
Needless to say, our courts do not always rule in their favor, and the corporation has a clear motive to shake up the make-up of the high court. [read post]
17 Mar 2016, 12:43 pm
It is written in clear, plain English). [read post]
27 Jun 2022, 5:01 am
Meanwhile, the absence of cybersecurity experts protecting national critical infrastructures constitutes a national security threat, a loophole that may be exploited by malicious actors. [read post]
