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12 Apr 2024, 6:30 am
Securities and Exchange Commission, on Saturday, April 6, 2024 Tags: Climate Disclosure, order, SEC, securities act of 1933, Securities Exchange Act of 1934 2024 Annual Meeting Filing and Disclosure Requirements Posted by Brian V. [read post]
12 Apr 2024, 6:30 am
Securities and Exchange Commission, on Saturday, April 6, 2024 Tags: Climate Disclosure, order, SEC, securities act of 1933, Securities Exchange Act of 1934 2024 Annual Meeting Filing and Disclosure Requirements Posted by Brian V. [read post]
3 Apr 2024, 9:03 pm
Let me start by reminding you that my views are my own as a Commissioner and not necessarily those of the Securities and Exchange Commission (“SEC”) or my fellow Commissioners. [read post]
1 Apr 2024, 7:16 am
His previous employers include Northwestern Mutual Investment Services, LLC (CRD# 2881) of Milwaukee, WI, Walnut Street Securities, Inc. [read post]
20 Mar 2024, 8:24 pm
In such negotiations, parties will mutually benefit if licensing is available as an alternative to “winging it” re: potential copyright infringement, especially parties who are more risk averse. [read post]
18 Mar 2024, 4:22 pm
A California trial court recently departed from wide-ranging precedent and held that Snap, Inc., the maker of Snapchat, the popular social media app, had created a “defective” product by including features like disappearing messages, the ability to connect with people through mutual friends, and even the well-known “Stories” feature. [read post]
15 Mar 2024, 12:15 pm
American Steamship Owners Mutual Protection and Indemnity Association, Inc. [read post]
14 Mar 2024, 6:19 pm
The settlement, disclosed on the state’s Bureau of Securities Regulation website, reportedly imposes hefty penalties on Kulch and his former broker-dealer, Next Financial Group Inc., totaling over $1 million. [read post]
12 Mar 2024, 2:25 pm
In the follow-up of this case, the court reviewed the admissibility requirements, one of which concerns the funding and securing that there is not conflict of interest (see Tzankova and Kramer, 2021). [read post]
8 Mar 2024, 11:31 am
Among the firms involved were Northwestern Mutual Investment Services LLC, Guggenheim Securities LLC, Oppenheimer & Co. [read post]
6 Mar 2024, 9:01 pm
The Commission is a securities regulator without statutory authority or expertise to address political and social issues. [read post]
6 Mar 2024, 4:39 pm
The couple can mutually agree to the payment schedule of the Mahr, for instance, it can be paid as a lumpsum or in increments, either at the date of marriage or at a later date, subject to the request of the wife to receive it. [read post]
6 Mar 2024, 4:39 pm
The couple can mutually agree to the payment schedule of the Mahr, for instance, it can be paid as a lumpsum or in increments, either at the date of marriage or at a later date, subject to the request of the wife to receive it. [read post]
4 Mar 2024, 10:00 pm
Ctr., Inc. v. [read post]
21 Feb 2024, 10:14 am
Desserts, Inc. v. [read post]
16 Feb 2024, 1:30 pm
The Santa Cruz City Council-approved plan would allow the Santa Cruz Police Department to purchase as many as five Skydio X10 drones under a contract with Axon Inc., spending as much as $254,932 over five years. [read post]
12 Feb 2024, 10:28 am
Bancorp Investments Inc. [read post]
9 Feb 2024, 8:59 am
Inc. [read post]
31 Jan 2024, 11:31 am
– $13.5 million, Stifel Nicolaus & Company, Inc. [read post]
26 Jan 2024, 1:40 pm
Voya operates under the following names: ING FINANCIAL PARTNERS, INC, WASHINGTON SQUARE SECURITIES, INC., VOYA FINANCIAL ADVISORS, INC., VARIABLE LIFE BROKERAGE DISTRIBUTORS, NWNL MANAGEMENT CORPORATION, ING FINANCIAL PARTNERS, INC., according to its CRD. [read post]
