Search for: "Working Group on Securities Disclosure Authority"
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8 Sep 2022, 9:01 pm
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
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]
7 Jan 2020, 8:30 am
Prior to joining Dawson James Securities in 2012, Armstrong worked for Aurora Capital LLC and Westpark Capital, Inc. [read post]
16 Aug 2023, 9:04 am
The White Law Group reviews the regulatory history of Securities America Inc. [read post]
22 Oct 2019, 3:16 pm
The framework in the proposal is similar to the approach the Securities and Exchange Commission takes for certain investor disclosures. [read post]
6 Dec 2022, 11:07 am
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]
18 Jan 2024, 1:30 pm
The White Law Group reviews the regulatory history of Cabot Lodge Securities LLC. [read post]
13 Feb 2019, 4:30 am
Matt is one of the founding members of the RKG Tech Law Group. [read post]
27 Jan 2020, 1:42 pm
Before joining Raymond James, Reznic worked for Pebsco Securities Corp. [read post]
4 Jun 2020, 1:20 pm
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
The Financial Industry Regulatory Authority (FINRA) recently brought a complaint against Source Capital Group, Inc. [read post]
9 Sep 2020, 6:06 am
Most recently, Hoffman was registered with Ameriprise Financial Services, LLC from 2016-2020 and prior to that, Hoffman worked for Wedbush Securities Inc. [read post]
13 Feb 2024, 10:47 am
The post Brett Hartvigson Barred from Securities Industry appeared first on The White Law Group. [read post]
19 Jul 2023, 9:05 pm
Although not a silver bullet, it is likely to have positive consequences of decreasing GHGs, advancing work to prepare for the worsening physical impacts of climate change, and encouraging climate friendly innovations.[10] The SEC and possibly California are not the only authorities that are expanding their securities and corporate disclosure requirements to encompass more information about climate change. [read post]
18 Dec 2024, 10:37 am
I welcome guest post submissions from responsible authors on topics of interest to this site’s readers. [read post]
22 Feb 2019, 8:25 am
You Should Be Thinking About Data Security; and When Does a Data Breach Require Disclosure Under Pennsylvania’s Data Breach Notification Act?. [read post]
12 Nov 2024, 11:44 am
Identify when the Centers for Medicare and Medicaid Services (CMS) Physician Self-Referral Disclosure Protocol (SRDP) comes into play and learn how to complete and submit disclosure forms to CMS. [read post]
1 May 2023, 8:42 am
If you have suffered losses investing with Damian Baird, the securities attorneys at the White Law Group may be able to help you. [read post]
22 May 2012, 1:05 pm
The Department of Labor’s Employee Benefits Security Administration (EBSA) has made a technical correction to recently released participant-level fee disclosure regulation (29 CFR § 2550.404a-5) contained in Field Assistance Bulletin No. 2012-02 (Fab 2012-02) as initially released on May 7, 2012. [read post]
15 Dec 2022, 5:14 pm
This article was co-authored with Jessica Kamleh. [read post]
