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3 Apr 2017, 8:59 am
Illinois National Insurance Company, a group of D&O insurers essentially asked, “When is a securities claim not a ‘Securities Claim’” (as defined in their policies)? [read post]
3 Apr 2017, 8:59 am
Illinois National Insurance Company, a group of D&O insurers essentially asked, “When is a securities claim not a ‘Securities Claim’” (as defined in their policies)? [read post]
22 Jun 2022, 9:01 am
This week, Alan, Quinta, and Scott flew solo to discuss the week's big national security news, including: “Just Dropped in to See What Condition This Extradition is In. [read post]
10 Oct 2017, 12:09 pm
Non-traded BDCs, as their name implies, do not trade on a national securities exchange, and are therefore illiquid products that are hard to sell (investors can typically only sell their shares through redemption with the issuer, or through a fragmented and illiquid secondary market). [read post]
10 Jun 2014, 2:18 pm
ETFs need not make FINRA filings – a FINRA filing under the Corporate Financing Rule will not be required for securities issued by an exchange-traded fund (ETF) if it is a pooled investment vehicle that is not a registered investment company but has equity securities listed for trading on a national securities exchange that can be created or redeemed on any business day at their net asset value per share. [read post]
30 Sep 2022, 11:04 am
Securities and Exchange Commission (SEC) Whistleblower Program. [read post]
14 Nov 2018, 12:59 pm
His previous employers include National Securities Corporation (CRD #7569, expelled by FINRA in 2009) and First Republic Group, LLC (CRD #39781), also of New York. [read post]
27 Jan 2021, 12:22 pm
Share Tweet ShareThe Securities and Exchange Commission today charged Vuuzle Media Corporation, a purported online live streaming and entertainment company, and its founder Ronald Shane Flynn (a.k.a. [read post]
13 Sep 2019, 12:33 pm
We’ve combed through the transcript from the debate to present the national security-related exchanges. [read post]
30 Jan 2016, 12:30 pm
From March 2006 till present Eichner has been associated with National Securities Corporation. [read post]
23 Oct 2010, 12:44 pm
National Australia Bank Ltd. that severely limited the ability of security holders to sue foreign corporations in an American court for securities purchased abroad. [read post]
3 Nov 2011, 4:33 pm
"Fraudulent practices by publicly held corporations have contributed to the economic difficulties currently facing our nation," said OSHA Assistant Secretary Dr. [read post]
21 Dec 2010, 1:18 pm
The National Whistleblowers Center (NWC) publicly released its report to the Securities and Exchange Commission entitled "Impact of Qui Tam Laws on Internal Compliance. [read post]
28 Sep 2016, 12:39 pm
The US National Credit Union Administration (NCUA) [official website] said [press release] Wednesday that the Royal Bank of Scotland Group (RBS) [corporate website] will pay $1.1 billion after it allegedly solid toxic mortgaged-backed securities. [read post]
28 Mar 2007, 2:06 am
From NPR: All Things Considered, March 26, 2007 · Leigh Sales, Australian Broadcasting Corporation's national security correspondent and author of the book The Worst of the Worst: The Case of David Hicks. [read post]
13 Nov 2012, 10:00 pm
The Lebrecht Group, APLC provides comprehensive advice on a variety of corporate and securities law matters. [read post]
23 Oct 2006, 1:18 pm
Theft of National Security laptops from a bunker in New... [read post]
12 Jun 2008, 11:37 am
The fight between the CSX Corporation and two hedge funds seeking to win a proxy fight at one of the largest railroad companies in the nation, it seems, may not be over, despite a ruling Wednesday by a federal judge that the two activist funds ad violated securities laws by not disclosing their positions and [...] [read post]
23 Oct 2006, 1:18 pm
Theft of National Security laptops from a bunker in New... [read post]
11 Oct 2010, 12:14 pm
In addition to already existing legal and regulatory complexities, today’s economic and national security concerns make it even more challenging for... [read post]
