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29 Aug 2016, 4:49 pm
Major corporations such as Verizon and General Electric also take advantage of it. [read post]
4 Oct 2017, 6:04 am
Gallagher & Co. and MylogIQ, recently released CEO and Executive Compensation Practices: 2017 Edition, which documents trends and developments on senior management compensation at companies issuing equity securities registered with the US Securities and Exchange Commission (SEC) and, as of May 2017, included in the Russell 3000 Index. [read post]
4 Jun 2012, 11:57 am
The study also showed that a potential monetary reward was not a major factor in deciding whether to report misconduct internally. [read post]
30 Jan 2011, 9:45 am
The SEC alleges that the attorney, in the course of an SEC examination of his client NewPoint Securities LLC in April and May 2009 — altered private placement memoranda (PPMs) purportedly used in the offer and sale of securities issued by NewPoint Financial Services. [read post]
11 Sep 2011, 5:49 pm
At first glance, first-to-file seems like a much easier system administratively, which will speed up the patent process and create more certainty in property rights--and certainty is the major goal of any property title system. [read post]
6 Sep 2024, 11:02 am
Morgan Stanley agreed to pay $2 million to settle the investigation by the Massachusetts securities regulator. [read post]
22 May 2024, 3:00 am
ET, “the majority of equity transactions, including IPOs and follow-on offerings, will close one day after trading begins. [read post]
30 Jan 2011, 5:51 am
The SEC alleges that the attorney, in the course of an SEC examination of his client NewPoint Securities LLC in April and May 2009 — altered private placement memoranda (PPMs) purportedly used in the offer and sale of securities issued by NewPoint Financial Services. [read post]
26 Jun 2024, 6:30 am
Securities and Exchange Commission (“SEC”) filed its third matter this year involving “AI washing”—namely, alleged misstatements or omissions by securities market participants about the use of artificial intelligence (“AI”). [read post]
26 Jun 2024, 6:30 am
Securities and Exchange Commission (“SEC”) filed its third matter this year involving “AI washing”—namely, alleged misstatements or omissions by securities market participants about the use of artificial intelligence (“AI”). [read post]
15 Mar 2021, 2:53 pm
Citing national security concerns, Sri Lanka’s public security minister Sarath Weerasekera signed papers for cabinet approval of the ban on Friday. [read post]
19 Jun 2011, 1:06 am
The decision does mean that the other participants have not committed securities law violations. [read post]
16 Jun 2011, 4:49 pm
capital markets were becoming less competitive relative to their major competitors. [read post]
7 Feb 2016, 7:39 am
Belgium had its own wake-up call: in January 2015, police foiled a major terrorist attack, and in November, the government imposed a lockdown on Brussels to avoid an “imminent” attack. [read post]
18 May 2011, 11:17 am
According to the OIG, CMS’ oversight and enforcement actions were “not sufficient,” leaving limited assurance of the security of hospitals’ ePHI. [read post]
24 Aug 2011, 2:00 am
If, as in the Madoff case, the fund of customer property is insufficient to satisfy every customer’s “net equity” claim, customers may receive an advance of up to $500,000 for their securities claims, funded by the Securities Investor Protection Corporation (“SIPC”), a nonprofit corporation funded by registered broker-dealers and members of national securities exchanges‘ [4] plus a pro rata distribution of funds from the estate. [read post]
2 Oct 2022, 12:47 pm
There are many investments that are not appropriate for the majority of investors or for certain investors given their risk tolerance, age, and other factors. [read post]
30 Dec 2015, 8:34 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
24 May 2019, 7:25 am
There are many investments that are not appropriate for the majority of investors or for certain investors given their risk tolerance, age, and other factors. [read post]
12 Dec 2019, 7:43 am
There are many investments that are not appropriate for the majority of investors or for certain investors given their risk tolerance, age, and other factors. [read post]
