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27 Nov 2015, 12:16 pm
This parallel disclosure system, developed by bank regulators, is not directed at investor protection and market efficiency, so it conflicts with the goals of the SEC’s disclosure mandates, he advised. [read post]
21 Jul 2015, 8:00 am
By Jacquelyn LumbThe SEC’s Divisions of Trading and Markets, Investment Management, and Corporation Finance have updated their responses to frequently asked questions about the Volcker Rule to address the seeding period treatment for registered investment companies (RICs) and foreign public funds (FPFs). [read post]
4 Jun 2015, 12:05 pm
By Jacquelyn LumbThe SEC’s Division of Corporation Finance has determined that Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corporation have made a showing of good cause for why it is not necessary to deny their reliance on Rule 506 of Regulation D based on their violation of Regulation SHO. [read post]
21 May 2015, 5:00 am
Lynch in Reuters The bank had applied for the waiver following its agreement last year to pay $2.5 billion to resolve criminal charges that it helped wealthy Americans evade U.S taxes. [read post]
6 May 2015, 6:56 am
By Jacquelyn LumbCommissioner Kara Stein issued a dissenting statement in response to the staff’s waiver which was granted yesterday to Deutsche Bank AG. [read post]
4 Mar 2015, 5:33 am
[This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbCommissioner Kara Stein last month spoke in Tokyo, Japan, about the changes the Dodd-Frank Act’s Volcker rule brought to the U.S financial system. [read post]
15 Jan 2015, 11:49 am
[This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbThe staff of the SEC’s Division of Corporation Finance has advised SunTrust Banks, Inc. that it may not omit a shareholder proposal seeking annual disclosure of any recoupments or forfeitures of senior executives’ incentive compensation under the bank’s recoupment policy. [read post]
10 Oct 2014, 3:14 pm
The subcommittee analyzed the role of brokers and banks in the proxy distribution process, as well as that of broker agent, Broadridge Financial Solutions. [read post]
14 Aug 2014, 4:11 pm
[This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbThe president and CEO of the Federal Reserve Bank of Boston has called for a comprehensive reevaluation of broker-dealer regulations. [read post]
3 Aug 2014, 11:34 am
ASTEBERG f/k/a JACQUELYN RUSSELL, Petitioner, v. [read post]
27 May 2013, 4:36 pm
Canino pled guilty in April 2012 to conspiracy to commit wire fraud and bank fraud in connection with the scheme, and was sentenced by U.S. [read post]
6 May 2013, 6:07 pm
Forbes staff writer Jacquelyn Smith looks into the subject in her article… 10 Reasons Why Humor Is A Key To Success At Work. [read post]
11 Jun 2012, 1:17 am
Jacquelyn Torado, 42, Westbury, New York, Neal Sultzer, 61, Plainview, New York, and Kevin Hymes, 39, Armonk, New York, and former attorney Michael Schlussel, 50, Merrick, New York, pled guilty to conspiring to commit wire fraud and bank fraud in connection with a $66 million mortgage fraud scheme involving over 100 home mortgage loans for residential properties in the New York City area. [read post]
27 Feb 2012, 7:04 am
Guest post by Jacquelyn Merrill. [read post]
4 Aug 2011, 12:27 pm
The attorneys allegedly received loan proceeds from the banks and submitted false paperwork about how those moneys were distributed, instead making large, illicit payments to their co-conspirators, prosecutors said. [read post]
14 Apr 2011, 8:21 pm
Jacquelyn Bridgeman (Wyoming) Part Four: Considering the Limits of Loving Black Pluralism in Post-Loving America Taunya Lovell Banks (Maryland) Multiracialism and Reparations: Accounting for Political Blackness Angelique Davis (Seattle) Crossing Borders: Loving v. [read post]
4 Dec 2010, 2:02 pm
” – Jacquelyn Carpenter, “Camouflaged in Immutability” Obviously Carpenter has never been the parent of two teenage white boys. [read post]
16 Sep 2009, 1:47 pm
New Massachusetts companies. [read post]
