Search for: "The Commissioner of Securities"
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11 Apr 2016, 6:18 am
I thought the picks for Securities and Exchange Commissioner would fly through the confirmation process. [read post]
26 Oct 2020, 6:37 am
The views expressed in the post are those of Commissioner Lee and Commissioner Crenshaw, and do not necessarily reflect those of the Securities and Exchange Commission, the other Commissioners, or the Staff. [read post]
21 May 2015, 6:54 am
But not all deference is limitless.On the record before us, the [Social Security] Commissioner has not carried her burden of showing that her position was substantially justified. [read post]
23 Oct 2020, 9:53 am
Two SEC commissioners, however, questioned the need for a new rule when demand for security futures has been historically low. [read post]
5 Mar 2008, 12:27 am
On February 29, 2008, the Vermont Department of Banking, Insurance, Securities and Health Care Administration issued a press release announcing that David F. [read post]
3 Apr 2014, 11:54 am
Commissioner Colvin stated that the current Social Security "anti-fraud approach has resulted in a fraud incidence rate that is a fraction of one percent." [read post]
19 Oct 2009, 11:58 pm
There will be one new commissioner for justice and fundamental, as well as a separate commissioner for security and internal affairs [read post]
25 Aug 2010, 9:20 am
Earlier this month the Montana Commissioner of Securities sued Securities America and some of its executives over the sale of Medical Capital, a failed private placement accused of being a Ponzi scheme. [read post]
24 Sep 2011, 5:55 am
The views expressed in the post are those of Commissioner Aguilar and do not necessarily reflect those of the Securities and Exchange Commission, the other Commissioners, or the Staff. [read post]
10 Aug 2007, 3:47 am
Campos, a member of the Securities and Exchange Commission who sparred with agency Republicans over how best to penalize companies for securities law violations, will depart in a month for the private sector, the commission said Thursday. [read post]
28 Apr 2009, 1:04 pm
NASAA President and Colorado Securities Commissioner Fred Joseph is scheduled to testify on April 29 before the U.S. [read post]
6 Oct 2009, 12:12 pm
House Financial Services Committee, NASAA President and Texas Securities Commissioner Denise Voigt Crawford outlined the key elements of meaningful financial services regulatory reform. [read post]
15 Dec 2021, 6:12 am
The views expressed in the post are those of Commissioner Crenshaw, and do not necessarily reflect those of the Securities and Exchange Commission, the other Commissioners, or the Staff. [read post]
8 Aug 2022, 4:02 am
Federal Court Denies Legend Securities President Bankruptcy Discharge of FINRA Customer Arbitration Award (BrokeAndBroker.com Blog)SEC Brings Charges Over Unregistered Offerings of Conservation Easement Investments (SEC Release)SEC Charges Angel Oak Capital Advisors with Misleading Investors in $90 Million Fix-and-Flip Securitization (SEC Release)SEC Proposes to Enhance Private Fund ReportingStatement on Proposed Amendments to Form PF by SEC Commissioner Caroline A. [read post]
11 Jul 2022, 3:51 am
Boustead Securities Survives Motion to Dismiss in Success Fee Dispute (BrokeAndBroker.com Blog)SEC Adopts Amendments to Proxy Rules Governing Proxy Voting Advice / Amendments Address Concerns by Investors and Others Regarding Rules That May Impair the Timeliness and Independence of Proxy Voting Advice (SEC Release)Protecting the Independence of the Proxy Voting Process: Statement on Amendments Governing Proxy Voting Advice by SEC Commissioner Allison Herren LeeU-Turn: Comments on… [read post]
6 Sep 2012, 5:39 am
The views expressed in the post are those of Commissioner Aguilar and do not necessarily reflect those of the Securities and Exchange Commission, the other Commissioners, or the Staff. [read post]
30 Oct 2008, 8:41 pm
Astrue, Commissioner of Social Security, on October 27, 2008 announced the national rollout of the agency’s Compassionate Allowances initiative, a way to expedite the processing of disability claims for applicants whose medical conditions are so severe that their conditions obviously meet Social Security’s standards. [read post]
5 Feb 2011, 7:14 pm
The same would have been true for the municipal securities dealer and transfer agent professions.Thus, in the Commissioner's view, a person who violated the securities laws prior to Dodd-Frank should have understood that he could be suspended or barred from associating with a broker, dealer, investment adviser, municipal securities dealer, or transfer agent if and when he became associated with, or sought to be associated with, such an entity. [read post]
24 Feb 2010, 9:00 am
Then an SEC Commissioner chimes in. [read post]
26 Jun 2012, 1:22 pm
Astrue, Commissioner of Social Security. [read post]
