Search for: "Working Group on Securities Disclosure Authority"
Results 681 - 700
of 2,201
Sorted by Relevance
|
Sort by Date
14 Sep 2023, 4:24 am
Richard Blumenthal (D-Conn), the subcommittee’s work is “complementary” to other work streams currently in progress, including that of a bipartisan working group led by Senate Majority Leader Chuck Schumer (D-NY).Given that the Schumer group and the Subcommittee on Privacy, Technology, and the Law have both offered bipartisan AI regulatory frameworks, it makes sense to begin with a comparison of those frameworks. [read post]
13 Nov 2019, 8:50 am
Your current firm could be alerted to the manipulation, and could misconstrue it as an effort to remove client files without firm or client authorization. [read post]
15 Nov 2023, 6:26 am
“Investor protection and enhancing public trust in our markets requires that we work with a sense of urgency, using all the tools in our toolkit. [read post]
6 Nov 2008, 6:28 pm
Kennedy will decide what portions of the ten documents at issue will be released to the groups. [read post]
18 Jul 2022, 2:46 pm
I would like to thank the authors for allowing me to publish their report as a guest post on this site. [read post]
7 Aug 2007, 11:03 am
Selling away occurs when a registered representative of a broker-dealer sells financial products not authorized by the broker-dealer. [read post]
9 Jun 2010, 12:06 am
My friend Ilene Carrie (syndicated blogger, editor at Phil's Stock World, and attorney) attended the Oregon Health Care Fraud Working Group Training Seminar and interviewed me. [read post]
25 Feb 2025, 4:09 pm
This article was co-authored with Michele Beck, Tom Clark, Masooma Saberi, Hasan Mohammad and Vivian Truong. [read post]
13 May 2021, 3:03 am
XBRL initiatives are also in the works. [read post]
6 Jul 2015, 7:09 am
Public Works and Government Services Canada (PWGSC) initially introduced an Integrity Framework in 2012. [read post]
23 Jun 2009, 5:38 pm
An OTC derivative is “securities-related” when the reference is to an entity that is an issuer of securities (such as a public company), to a security itself (or a related event such as a dividend payment), to a group or index of securities or issuers, or based on related aspects of a security or group or index of securities or issuers, such as price, yield, volatility, dividend payments, or value. [read post]
10 Sep 2024, 9:47 pm
Cloud storage and remote work arrangements have increased the risk of inadvertent disclosures. [read post]
7 Jan 2018, 6:27 am
THIS SECTION DOES NOT APPLY TO THE DISCLOSURE OF A MINOR CRIME VICTIM’S MEDICAL OR PERSONAL IDENTIFYING INFORMATION OR TO OTHER INFORMATION THAT IS SPECIFICALLY PROTECTED FROM DISCLOSURE BY LAW. [read post]
27 Dec 2012, 4:35 am
She also is a widely published author and highly regarded speaker on these matters. [read post]
4 Oct 2019, 3:00 am
Collins pleaded guilty to two of eight counts he was charged with: conspiracy to commit securities fraud and false statements to the FBI. [read post]
15 Aug 2014, 5:42 am
Pat McCrory filed a new ethics and economic disclosure that now makes clear he owned at least $10,000 of Duke Energy stock on the last day of 2013, reversing disclosure filings he made in April and May. [read post]
29 Sep 2015, 8:00 am
As the DAA emphasized in a webinar earlier this year, all parties working together to conduct IBA share in the responsibility for compliance. [read post]
3 May 2013, 2:36 pm
Scott does not believe that the bills will undermine transparency by lessening the disclosure of trading data. [read post]
31 Aug 2015, 7:17 pm
The 8-K filing further reports that: “Upon the discovery of this unauthorized activity, Web.com began working with a nationally recognized IT security firm to conduct a thorough investigation and reported the attack to credit card processors and to the proper federal and state authorities. [read post]
17 May 2020, 8:14 am
Their tool is disclosure and the surveillance necessary to make it. [read post]
