Search for: "Working Group on Securities Disclosure Authority"
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17 Jul 2024, 4:00 am
Disclosure: Generative AI was used in the development of this post. [read post]
14 Apr 2017, 6:33 am
The articles also did not have any disclaimers stating that the authors were being paid for promoting various companies’ stock. [read post]
13 May 2021, 4:00 pm
Is there more work to do? [read post]
9 Dec 2021, 12:24 pm
This incorrect information can effectively ensure that the broker never works in the securities industry again if not dealt with properly. [read post]
30 Oct 2020, 1:17 pm
Three weeks ago, federal authorities foiled an armed plot to kidnap Michigan Governor Gretchen Whitmer. [read post]
17 Nov 2010, 5:17 pm
A prolific author and popular speaker, Ms. [read post]
30 Apr 2013, 2:38 pm
She also is a widely published author and highly regarded speaker on these matters. [read post]
13 Mar 2018, 9:01 pm
Disclosure about what is being advised is not helpful. [read post]
7 Jul 2023, 1:24 pm
” Several of the customer complaints allege that Dunn purchased securities in their accounts without authorization. [read post]
12 May 2016, 6:00 am
In examining these questions, our group focused on the trajectory of surveillance and technology. [read post]
14 Aug 2018, 9:25 am
Several factors may have contributed to this speedy work. [read post]
25 Feb 2014, 10:02 am
Lastly, Brockmeyer also discussed the SEC’s cross-border working group and its focus on cases related to China. [read post]
17 Mar 2015, 2:49 pm
Beyond the specific health plan related concerns, most businesses also will want to consider the adequacy and defensibility of the data collection, use, disclosure, security and other practices affecting sensitive data within or on behalf of their organization. [read post]
1 May 2016, 8:55 am
Distinction b/t disclosure to gov’t and disclosure to public is ridiculous! [read post]
19 Dec 2022, 6:28 am
In March 2022, the Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA) worked with the Argentinian, Mexican, Panamanian, Colombia, Singaporean, Swiss, and other nations’ governments to bring down a boiler room operating out of Medellin, Colombia. [read post]
5 Jun 2024, 3:25 am
The SAP stated that the “Administration is eager to work with Congress to ensure a comprehensive and balanced regulatory framework for digital assets, building on existing authorities,” but that FIT21 “lacks sufficient protections for consumers and investors. [read post]
3 Oct 2023, 9:01 pm
SEC press release │SEC company order | SEC CFO complaint SEC settles assets recovery and impairment loss disclosure claims In the Matter of Future FinTech Group Inc. [read post]
17 Apr 2012, 10:05 pm
Borzi, assistant secretary of labor for employee benefits security. [read post]
29 Jul 2014, 4:21 pm
It represents a compromise between the intelligence community, the administration more generally, civil liberties groups, industry, and fairly wide range of senators. [read post]
22 Jun 2023, 8:54 am
How Do Pump and Dump Schemes Work? [read post]
