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9 Nov 2016, 6:37 pm
However, despite my best prognostication, the climate change-related corporate and securities lawsuits have basically failed to materialize – that is, until now. [read post]
6 Apr 2012, 7:14 pm
Harry Friedman, a principal of Global Arena Capital Corp. has agreed to a bar that prevents him from associating with any Financial Industry Regulatory Authority member. [read post]
2 Oct 2018, 8:39 am
The new governor of New Jersey, Phil Murphy has an extensive background in the securities industry, working in finance at Goldman Sachs for over 20 years. [read post]
12 May 2015, 8:32 am
On May 6, 2015, the Securities and Exchange Commission approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen the minimum quoting and trading increments–or tick sizes–for stocks of some smaller companies. [read post]
1 Nov 2012, 2:53 pm
Terry Vaughan and the team at Peritia really know industry best-practices, and they provide the best training and support for Viewpoint. [read post]
14 Jun 2012, 5:51 pm
” FINRA Annual Conference 2012 Securities Industry and Financial Markets Association More Blog Posts FINRA Initiatives Addressing Market Volatility Approved by the SEC, Institutional Investor Securities Blog, June 5, 2012 FINRA Will Customize Oversight to Investment Adviser Industry if Chosen as Its SRO, Stockbroker Fraud Blog, April 8, 2011 Fiduciary Standard in Securities Industry Doesn't Need New Definition, Stockbroker… [read post]
21 Jun 2012, 1:23 am
I think the best way to articulate it is to say that I feel I am following my own “path”. [read post]
4 Apr 2010, 4:37 pm
When it comes to dealing with the actions of companies regarding security, only the chemical industry has been hit with regulations, the Chemical Facility Anti-Terrorism Standards. [read post]
24 Feb 2023, 5:16 am
While there has been a great push to force government and private industry to collaborate and cooperate, no forum currently exists that encourages or mandates collaboration within government across disciplines from an investigative or intelligence analysis perspective. [read post]
15 Jun 2012, 11:42 am
Posted by Valerie MannThe solar manufacturing industry is suffering from over-capacity. [read post]
17 Apr 2012, 3:23 pm
Is this the best possible outcome? [read post]
27 Mar 2019, 11:26 am
” Rather, Breyer recalls the Supreme Court’s characterization of the securities law as a “first experiment in federal regulation of the securities industry,” and notes that the Supreme Court often has thought it best to treat the statute as “includ[ing] both a general proscription against fraudulent … practices and, out of an abundance of caution, a specific proscription against nondisclosure. [read post]
15 Dec 2011, 12:22 am
-type securities litigation are likely to materialize. [read post]
11 Jan 2009, 11:20 pm
The failed cases were particularly damaging since they led to the perception that all file sharing is legal in Canada (it is not) and helped to convince some of Canada's best-known artists to speak out against the practice. [read post]
14 Sep 2014, 11:47 pm
Their recent best-selling (and best received) album, How to Dismantle an Atomic Bomb, sold 9 million copies worldwide. [read post]
20 May 2022, 8:00 am
Filing Stage There are various routes for securing patent protection, but the best route for an organization depends on their invention(s) and the markets they operate in. [read post]
17 Jan 2012, 9:00 pm
The Securities Industry and Financial Markets Association wants the Financial Industry Regulatory Authority Inc. to prevent brokers from being able to plead poverty to escape arbitration payment orders. [read post]
27 Dec 2023, 2:02 pm
Louis Goff Barred after Securities Fraud Allegations According to an article in Investment News, broker Louis Goff, formerly registered with Wells Fargo Advisors, was reportedly barred from the securities industry this week after allegations of securities fraud. [read post]
26 Aug 2023, 4:58 am
However, there are important legal requirements around non-competes such as: A maximum term of no more than two years after employment separation Geographic scope of the non-compete must be reasonable for the industry and position The employer must provide monthly compensation to the employee during the restricted period after termination In addition to non-competes, employers should also consider written confidentiality agreements from employees that may handle trade secrets or other… [read post]
9 Dec 2021, 11:45 am
National Security Agency’s mass surveillance program using classified documents revealed by NSA whistleblower Edward Snowden. [read post]
