Search for: "National Securities Clearing Corporation"
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18 Dec 2008, 3:30 pm
Stone reported these problems to corporate officials who promptly began retaliating. [read post]
9 Dec 2010, 12:27 pm
“WikiLeaks presents a clear and present danger to the national security of the United States, and Julian Assange, an enemy of the U.S, should be prosecuted under the Espionage Act,” Shields said in a press release. [read post]
30 Sep 2021, 7:37 pm
The Securities and Exchange Commission charged Jose Luis Casero Sanchez, a former Senior Compliance Analyst who worked in the Warsaw, Poland office of an international investment bank, with insider trading involving at least 45 corporate events with the investment bank’s clients. [read post]
30 Sep 2021, 7:37 pm
The Securities and Exchange Commission charged Jose Luis Casero Sanchez, a former Senior Compliance Analyst who worked in the Warsaw, Poland office of an international investment bank, with insider trading involving at least 45 corporate events with the investment bank’s clients. [read post]
12 Apr 2022, 5:40 pm
National Acton Plan (NAP). [read post]
14 Feb 2022, 12:25 pm
National Australia Bank courts have struggled with application of the Morrison Court’s standard to securities lawsuits involving transactions in American Depository Receipts. [read post]
26 Oct 2018, 7:27 am
According to FINRA Disciplinary actions for October 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Gregory Adamo Allstate Financial Services, LLC National Securities Corporation Ricardo Bustamante J.P. [read post]
6 Mar 2018, 8:02 am
Morgan Securities LLC Invest Financial Corporation Brandon M. [read post]
22 May 2019, 11:16 am
Sales by Google, Xilinx and others to Huawei and other Chinese firms for telecommunications components do not harm our national security. [read post]
4 Dec 2014, 6:03 pm
They also provide infrastructure and services that corporate treasuries, pension funds, other investment funds, institutional investors and governments use to hold their cash and securities, facilitate cross-border transfers, and access central counterparties (CCPs), clearing systems and other financial market infrastructures (FMIs). [read post]
13 Mar 2014, 1:37 pm
Department of Homeland Security’s Urban Areas Security Initiative. [read post]
26 Nov 2007, 6:10 pm
The case arose out of a corporate merger. [read post]
14 Mar 2016, 3:10 pm
Companies have long been arguing that arbitration agreements are in the best interests of everyone involved, even when it seems pretty clear they only benefit the large corporations implementing and enforcing those agreements. [read post]
20 May 2012, 7:11 am
We have responsibility for reviewing the disclosures and financial statements of more than 9,100 reporting companies and also oversee approximately 450 transfer agents, 15 national securities exchanges, eight active clearing agencies, and nine nationally recognized statistical rating organizations (NRSROs), as well as the Public Company Accounting Oversight Board (PCAOB), Financial Industry Regulatory Authority (FINRA), Municipal Securities Rulemaking… [read post]
24 Feb 2012, 9:09 pm
While sitting at a coffee shop in his boyhood village of Ein Yabroud, near Ramallah, he allegedly was captured by men identifying themselves as security police, and was whisked away to a Jericho prison. [read post]
19 Jan 2023, 9:01 pm
Offenses that undermine the integrity of our financial institutions and markets, threaten the public safety and national security, wrongfully divert money into the pockets of criminal actors. [read post]
30 Jul 2007, 3:06 am
All accesses by all agencies, including all national security and law enforcement agencies, require prior justification and a judicial warrant.Read it here. [read post]
25 Jun 2007, 1:32 pm
Barney Frank (D-MA, Harvard Law ‘77) and the rest of the House Financial Services Committee peppers SEC chief Chris Cox and and his commissioners with questions today on securities regulation, citizens across the country are flooding the nation’s newspapers with letters to the editor, outraged that the Bush administration has thumbed its nose at protecting investors. [read post]
16 Jul 2009, 7:07 pm
Electronic media is to be cleared, purged or destroyed. [read post]
8 Mar 2024, 1:37 pm
Securities and Exchange Commission (SEC), Commodity Futures Trading Commission, IRS and FinCEN — Monaco explained they are only “a patchwork quilt that doesn’t cover the whole bed” of corporate and financial misconduct. [read post]
