Search for: "E*TRADE Financial Corporation"
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30 Jan 2024, 9:02 pm
I dissent from the Commission’s denial of a petition to amend Rule 202.5(e), our so-called gag rule.[1] This de facto rule follows from the Commission’s enforcement of its policy, adopted in 1972, that it will not “permit a defendant or respondent to consent to a judgment or order that imposes a sanction while denying the allegations in the complaint or order for proceedings. [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]
25 Jan 2024, 4:00 pm
In her position, Rechtoris will play a key role in engaging the e-discovery community through producing workshops that allow participants to share best practices, grow their networks, elevate their careers, and advance the e-discovery industry. [read post]
25 Jan 2024, 4:06 am
Industry Expert Article* Cybersecurity of Arbitration Transcripts By Rob Feigenbaum and Veronica Gromada[1] Arbitration proceedings often involve sensitive corporate information concerning trade secrets, Personal Health Information (“PHI”) and Personal Identifying Information (“PII”) covered by data protection laws and regulations, unpublished financial information, strategic plans and forecasts, proprietary research, payment card data, pre-patent… [read post]
22 Jan 2024, 9:01 pm
Alan served as Director of the Division of Corporation Finance (“CorpFin”) from 1970 to 1976. [read post]
19 Jan 2024, 7:09 am
. and Suzanne E. [read post]
19 Jan 2024, 3:00 am
National/Federal A New Republican Mom Wants to Change House Rules for Postpartum Voting DNyuz – Anni Karni (New York Times) | Published: 1/16/2024 When she arrived in Congress last year, Rep. [read post]
16 Jan 2024, 1:19 pm
It falls short relative to the independent discoveries made by truth-seeking investigative journalists who do not pursue trading profits, and is subpar to the valiant breakthroughs achieved by whistleblowers who seek to rectify deep- rooted corporate malfeasance. [read post]
8 Jan 2024, 6:08 am
Davis, Uttam Dhillon, Meg Hobbins, Valentina Lana, Elisabeth Lees, Luz E. [read post]
8 Jan 2024, 6:08 am
Davis, Uttam Dhillon, Meg Hobbins, Valentina Lana, Elisabeth Lees, Luz E. [read post]
29 Dec 2023, 10:56 am
Treasury Department’s Financial Crimes Enforcement Network (FinCEN). [read post]
18 Dec 2023, 2:48 pm
., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
13 Dec 2023, 9:05 pm
Our paper provides the first comprehensive description of board diversity within venture-backed privately held companies and draws comparisons with publicly traded firms. [read post]
11 Dec 2023, 1:18 pm
An “Inactive Entity” is an entity that: (A) was in existence on or before January 1, 2020; (B) is not engaged in active business; (C) is not directly or indirectly owned by any foreign person; (D) has not had any change in ownership in the preceding 12 months; (E) has not sent or received funds in an amount greater than $1,000, either directly or through any financial account in which the entity or any affiliate of the entity had an interest, in the preceding 12… [read post]
10 Dec 2023, 10:30 pm
This involves the transfer of corporate management techniques to the public sector, in our case, higher education. [read post]
7 Dec 2023, 1:30 am
It delivers detailed, practical compliance guidance for corporations and their lawyers, alike. [read post]
1 Dec 2023, 10:14 am
Though the focus on emissions at times eclipses other human rights frameworks—the “E” in ESG sometimes overshadowing other social concerns—the roots of corporate social responsibility in human rights advocacy are a key reason why some carbon majors seem to see any type of ESG as an existential threat. [read post]
30 Nov 2023, 9:01 pm
On November 21, 2023, the staff of the Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance issued eight new Compliance & Disclosure Interpretations (C&DIs), and revised two previously issued C&DIs, relating to the final pay-versus-performance (PVP) disclosure rules adopted last year. [read post]
30 Nov 2023, 12:45 pm
Valeo, the Court wrote (citing Auffmordt and Germaine) that "[e]mployees are lesser functionaries subordinate to officers of the United States, [read post]
28 Nov 2023, 9:15 pm
At what point does “a limited number” of comparable companies become too big a number for information about Company A to be material to Company B (or C, D, or E)? [read post]
