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1 Aug 2018, 8:28 am by Renae Lloyd
The customer reportedly had approximately $508,000 in his investment account, with Social Security payments his only source of income. [read post]
7 Feb 2021, 7:12 am
Securities and Exchange Commission (SEC) announced the appointment of Satyam Khanna as its Senior Policy Advisor for Climate and ESG. [read post]
12 Nov 2010, 11:47 am by Kevin O'Keefe
Paul's thoughts on working with social media in a regulated arena are most welcome in light of the recent rhetoric from both sides in the legal blogosphere following the September Paper released by the ABA Commission on Ethics 20/20. [read post]
5 Dec 2017, 5:21 am by Mark Astarita
The Securities and Exchange Commission obtained an emergency asset freeze to halt a fast-moving Initial Coin Offering (ICO) fraud that raised up to $15 million from thousands of investors since August by falsely promising a 13-fold profit in less than a month.The SEC filed charges against a recidivist Quebec securities law violator, Dominic Lacroix, and his company, PlexCorps. [read post]
22 Dec 2020, 6:10 am by Geoffrey B. Fehling
The Nasdaq stock market has filed a proposal with the US Securities and Exchange Commission requesting permission to enforce new rules aimed at advancing diversity among board members of Nasdaq-listed companies and increasing disclosure of diversity statistics. [read post]
10 Aug 2010, 7:35 am by Suzanne Ito, ACLU
The optional protocol mandates the "physical and psychosocial rehabilitation and social reintegration of children who are victims of armed conflict. [read post]
4 Jan 2017, 1:06 pm by John Delaney and Aaron Rubin
According to the Commission, the data security failure was unfair because it caused, or was likely to cause, substantial consumer injury. [read post]
7 Nov 2022, 8:00 am by Savage Villoch Law, PLLC
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have identified five of the most common techniques used in committing investment fraud. [1] More information on the first three of these tactics – the “phantom riches” tactic, the “social consensus” tactic, and the “credibility” tactic – and how investors can avoid them can be found in Part One of this two-part series. [read post]
31 Oct 2022, 8:00 am by Savage Villoch Law, PLLC
Per the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), three of the most common investment fraud tactics employed by scammers in the United States are known as the “phantom riches” tactic, the “source credibility” tactic, and the “social consensus” tactic. [1] Each tactic essentially functions by allowing the fraudster to build a false narrative surrounding their supposed investment… [read post]
1 Oct 2013, 5:44 am by Jay Baris
See Commission Guidance on the Use of Company Web Sites, 73 Fed. [read post]
3 May 2016, 6:48 am by David Hoffman
  Rethinking Can Provide Privacy and Security The company I work for, Intel, has a long record of encouraging the ethical and innovative use of data to accomplish important social goals, such as education, healthcare, urban planning and law enforcement and national security. [read post]
17 Sep 2018, 2:15 pm by Stewart Baker
Paul covers the European Commission's proposal that social media take down all terror-inciting speech within one hour, on pain of massive fines. [read post]
6 Jun 2007, 9:55 am
Securities and Exchange Commission says it plans to propose changes to the proxy rules this summer, and three panel discussions this month suggest a wide range of options are on the table. [read post]
6 Jul 2023, 4:00 am by Administrator
During 2017–19, Canada created a revised review system generally consistent with the principles of review articulated by external observers, such as commissions of inquiry. [read post]
13 Jan 2010, 1:59 am by Dave Lorenzo
If we commissioned a study of 100 people at the start of their working careers and followed them for 40 years until they reached retirement age, we would find the following (according to the Social Security Administration):  Only 1 person will be wealthy;4 will be financially secure;5 will continue working, not because they want to but because they have to;36 will be dead; and54 will be flat broke - bankrupt… That’s 5% successful and 95%… [read post]
28 Mar 2014, 3:20 pm by Mark Brennan
  When consumers establish accounts through the mobile application, they share their names, contact information, passwords, security questions and answers, and Social Security numbers. [read post]