Search for: "Working Group on Securities Disclosure Authority" Results 41 - 60 of 2,581
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21 Oct 2019, 10:52 am by Renae Lloyd
According public disclosures on the Financial Industry Regulatory Authority’s website on October 18, financial advisor Dennis Mehringer Jr. was reportedly barred from working in the securities industry after he allegedly failed to provide testimony in FINRA’s investigation into whether he “had engaged in unsuitable trading and other misconduct during the period from January 2017 through May 2018. [read post]
26 Dec 2013, 7:05 am by Benjamin Wittes
The Review Group would have such non-disclosure orders issue only with a specific finding that disclosure would threaten national security or otherwise threaten important interests. [read post]
10 Mar 2024, 2:56 pm by Stuart Kaplow
We have done a great deal of that work for public companies, their securities counsel, and their consultants and that work will grow exponentially under this new Final Rule as materiality appears now replaced by pages of prescriptive disclosures. [read post]
16 Mar 2018, 1:39 pm by Renae Lloyd
According to his FINRA BrokerCheck Report, Woods was registered with 17 different firms during his 13 years working in the securities industry. [read post]
11 Jul 2022, 11:29 am by The White Law Group
           The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
8 Sep 2022, 9:01 pm by Gary Gensler
I’m going to guess that you did not take on the work on behalf of a dispersed, unidentified group of individuals in an “ecosystem. [read post]
24 Aug 2012, 4:23 pm by BuckleySandler
Because it is authorized under Title X of Dodd-Frank, it is not subject to the Jan. 21, 2013 final rule deadline for rules under Title XIV of Dodd-Frank. [read post]
4 Jun 2018, 6:00 am by Rick Ledgett
At the conclusion of the group’s work, we asked him to speak to the NSA workforce. [read post]
5 Dec 2013, 12:05 pm by Paul Rosenzweig
Moreover, the letter indicates close cooperation with Canadian authorities on the matter. [read post]
6 Dec 2022, 11:07 am by Unknown
The letter invites Congress to improve communications by passing legislation requiring federal agencies to invite state regulators to participate in any federal advisory council or similar working group convened to examine some aspect of the securities regulatory framework. [read post]
22 Oct 2019, 3:16 pm by Cynthia Marcotte Stamer
The framework in the proposal is similar to the approach the Securities and Exchange Commission takes for certain investor disclosures. [read post]
7 Jan 2020, 8:30 am by Silver Law Group
Prior to joining Dawson James Securities in 2012, Armstrong worked for Aurora Capital LLC and Westpark Capital, Inc. [read post]
4 Jun 2020, 1:20 pm by Shannon O'Hare
On May 27, 2020, the Department of Labor (the “DOL“) published a highly anticipated final rule in the Federal Register (the “Final Rule“) that provides new guidance with respect to furnishing certain required retirement plan disclosures electronically in order to comply with the information disclosure requirements under Title I of the Employee Retirement Income Security Act of 1974, as amended (“ERISA“). [read post]
10 Feb 2015, 6:37 am by Adam Weinstein
The Financial Industry Regulatory Authority (FINRA) recently brought a complaint against Source Capital Group, Inc. [read post]