Search for: "Jason S. Howard"
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1 Sep 2017, 12:05 pm
Jason Howard, J.D.The NYSE has filed a Notice of Proposed Rule Change with the SEC to amend Section 202.06 of the NYSE Listed Company Manual to limit the issuance of material news by listed companies in the period immediately after the official closing time for the Exchange’s trading session (Release No. 34-81494, August 29, 2017).Proposal. [read post]
27 Dec 2018, 8:23 am
Jason Howard, J.D. [read post]
30 Sep 2016, 12:37 pm
Jason Howard, J.D.A unanimous vote by the Commission approved an amendment to CFTC regulation 50.4 that establishes a new clearing requirement determination by expanding on the interest swaps required to be cleared.Expanded classes. [read post]
19 Jun 2008, 7:43 pm
It just comes out," Howard said. [read post]
28 Dec 2015, 8:16 am
Jason Howard, J.D.The SEC has voted to issue an advanced notice of proposed rulemaking addressing new requirements for transfer agents along with a concept release requesting public comment on the Commission’s broader review of transfer agent regulation.Exiting Commissioner Luis Aguilar commended Chair White, Commissioners Stein and Piwowar and the staff for addressing an issue that has been a concern of his for some time. [read post]
22 Aug 2023, 9:25 am
Jason Howard, J.D.The U.S. [read post]
17 Feb 2008, 10:37 am
Howard Greninger of the Terre Haute Trib-Star, reports today:Maintaining court records, as well as documents for other county government offices, can generate a lot of paper. [read post]
27 Apr 2012, 6:56 am
We look forward to hearing more on this issue, because it's very important to the everyday work of Vincent Howard and our team of Norwalk foreclosure defense attorneys. [read post]
28 Jun 2018, 7:57 am
Jason Howard, J.D.A federal district court in Massachusetts has entered a final judgment against a former partner in a California law practice for his part in defrauding investors in CitySide Tickets, Inc., a Massachusetts-based ticket brokering business (SEC v. [read post]
28 Mar 2024, 5:11 am
Jason Howard, J.D.The SEC has voted to modernize a 22-year-old rule by adopting amendments that apply to when investment advisers who provide advisory services exclusively over the internet can register with the SEC.In July 2023, the Commission voted 5-0 to issue the internet advisers proposal and, at that time, SEC Chair Gary Gensler explained that in 2002 the SEC granted a narrow exception allowing internet-based advisers to register with the Commission instead of with the… [read post]
13 Oct 2021, 11:17 am
Jason Howard, J.D.The North American Securities Administrators Association (NASAA) has announced that following approval by its board of directors, it is seeking public comment regarding proposed model rules concerning the unpaid arbitration awards and regulatory fines by state-licensed broker-dealers and agents or investment advisers and investment adviser representatives.Proposed rule. [read post]
13 Nov 2007, 11:22 pm
It ended with lunch and a short talk by DNC Chair Howard Dean. [read post]
28 Oct 2016, 10:21 am
Here is the witness list for the Senate Banking, Trade and Commerce Committee hearings next Wednesday and Thursday, November 2 and 3 re Canada’s Copyright Board. [read post]
14 Jan 2016, 11:20 am
Jason Howard, J.D.The SEC’s Division of Corporation Finance has responded to a request for guidance in connection with NorthWestern Corporation’s intention to omit a shareholder proposal from the company’s 2016 proxy statement and form of proxy relating to its annual meeting of shareholders tentatively scheduled for April 20, 2016.Proposal. [read post]
1 Dec 2015, 6:59 am
Jason Howard, J.D.A former Goldman Sachs associate has been charged by the SEC with insider trading for his use of client nonpublic information in a scheme which garnered more than $450,000 in illicit profits (SEC v. [read post]
19 Aug 2007, 8:54 pm
" And Pat Howard yesterday had an op-ed entitled "Questions in Joyce case go beyond judge's actions. [read post]
12 Feb 2018, 5:00 am
Jason Howard, J.D. [read post]
22 Jun 2015, 7:42 pm
Howard Fischer of The Arizona Daily Star reports that "Tucson Spider-Man web blaster inventor loses to Marvel. [read post]
5 Apr 2016, 9:07 am
Jason Howard, J.D.A federal district court in Connecticut has granted a motion to dismiss a class action brought by shareholders alleging securities violations by executives at World Wrestling Entertainment, Inc. [read post]
6 Feb 2023, 5:00 am
Jason Howard, J.D.The SEC has published a report summarizing the staff’s examinations of nationally recognized statistical rating organizations (NRSROs) in which the state of competition, transparency, and conflicts of interest among NRSROs are discussed.According to the SEC press release, the staff’s NRSRO examinations during 2022 considered factors, including:Rating surveillance practices;The impact of COVID-19 on commercial real estate credit… [read post]
