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5 Aug 2014, 7:00 am
For example, the group specializing in fixed income and municipal securities helped the Enforcement Division bring several major cases against local municipal entities over alleged financial misstatements. [read post]
20 Mar 2013, 7:31 am
The objective is to increase transparency about significant holdings of public companies' equity and voting securities, providing issuers as well as the marketplace generally with better information about major holders, their voting and equity interests and their investment intentions. [read post]
30 Jun 2018, 12:50 pm
The majority of these disputes concern unsuitable recommendations in bonds, stocks, and exchange-traded funds (ETFs). [read post]
14 Sep 2021, 1:54 pm
Panuwat did not trade in Medivation securities. [read post]
11 Jul 2018, 2:14 pm
The majority of these complaints concern the misrepresentation and unsuitable recommendation of variable annuities, equity indexed annuities, and Variable Universal Life (VUL) insurances. [read post]
18 Sep 2007, 8:48 am
Cuomo, has opened an investigation of five major utility companies regarding whether their plans to build coal-fired power plants pose undisclosed financial risks that should be disclosed to investors. [read post]
22 Jun 2018, 6:56 pm
The majority of these customer disputes involve the unsuitable recommendations of variable annuities. [read post]
23 Sep 2011, 2:00 am
Today we continue our weekly installment highlighting the best of the corporate and securities blogosphere for the past week. [read post]
18 Nov 2013, 12:26 am
However, in the Court’s recent Amgen decision, Roberts did not vote with the dissenting and concurring conservatives; instead, he joined Justice Ginsberg’s majority opinion, where she specifically noted that Congress had amended the securities laws in 1995 without altering the Basic presumption. [read post]
22 Oct 2009, 12:21 pm
Unless there is a major security breach, corporations and other institutions are unlikely to invest in innovations that would likely be very expensive. [read post]
11 Apr 2010, 9:42 pm
The theme of law and security refers to a range of issues of contemporary importance in both international and national law which in various ways represent major threats (global and local) to national and international security. [read post]
8 May 2017, 7:10 am
They complement the Regulatory Technical Standards on Strong Customer Authentication and Common and Secure Communication that were submitted to the European Commission for adoption on 23 February 2017, and the Guidelines on Major Incidents Reporting for which public consultation finished on 7 March 2016. [read post]
8 May 2017, 7:10 am
They complement the Regulatory Technical Standards on Strong Customer Authentication and Common and Secure Communication that were submitted to the European Commission for adoption on 23 February 2017, and the Guidelines on Major Incidents Reporting for which public consultation finished on 7 March 2016. [read post]
1 Apr 2015, 12:33 pm
This is likely to be a major point of debate among lawmakers, telecommunication companies, the FTC and the Federal Communications Commission. [read post]
3 Oct 2022, 4:33 am
A curated weekday guide to major national security news and developments over the past 24 hours. [read post]
2 Apr 2007, 6:52 am
“Congress has a responsibility to end a war that is opposed by the American people and is undermining our national security. [read post]
12 Mar 2012, 6:59 am
For a number of years, commentators have noted that securities “reform” legislation seems to be passed only in the wake of major stock market crashes, with this pattern dating back to the South Sea Bubble. [read post]
11 Jun 2010, 7:04 am
" Mike Ward reports in the Statesman today that:In a push to bolster security and curb contraband in Texas' massive prison system, officials for the first time plan to order random drug tests for a majority of the state's 41,000 corrections employees including all guards and parole officers.Bryan Collier, deputy director of the Texas Department of Criminal Justice, said Thursday that the policy to be unveiled next week is designed to raise staffing standards inside… [read post]
22 Dec 2016, 1:03 am
The problem is that—more often than not—settlements fail to secure long-lasting peace between the parties. [read post]
23 Jun 2008, 4:14 pm
It marks the first time that an African-American, overcoming racial discrimination, has secured the nomination of a major party. [read post]
