Search for: "National Securities Clearing Corporation"
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25 Jan 2011, 8:30 am
It also casts more doubt on the utility of National Policy 62-202, known as the Defensive Tactics Policy, under which securities regulators deal with unsolicited corporate takeover bids and hostile control contests. [read post]
27 Jul 2021, 6:37 am
Today, a single firm—the National Securities Clearing Corporation (NSCC)—is the only remaining clearinghouse, while another—the Depository Trust Corporation (DTC)—is the only remaining depository. [read post]
14 Oct 2010, 2:31 am
The Commission also adopted interim final rules to require that certain swaps dealers and other parties report any security-based swaps entered into prior to the July 21 passage of the Dodd-Frank Act, as well as proposed rules (a new Regulation MC) intended to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and national securities exchanges that post security-based swaps… [read post]
22 Jun 2009, 2:37 pm
To clear it up, the caller says he'll need some information for "verification purposes"- your birth date, social security number, maybe even a credit card number. [read post]
10 Jul 2018, 3:57 am
Colorado Division of Securities Participates in Coordinated International Crypto Crackdown On May 3, 2018, the Colorado Securities Commission announced that it signed orders requiring Linda Healthcare Corporation and Broad Investments, LLC to cease and desist from selling securities in the state. [read post]
7 Dec 2016, 10:00 pm
Corporate cases should not be resolved without a clear plan to resolve related individual cases before the statute of limitations expires and declinations as to individuals in such cases must be memorialized. [read post]
6 Jul 2017, 11:18 am
Bruce Johnsen, ed., “The Attack on Corporate America: The Corporate Issues Sourcebook” (1978). [read post]
10 May 2022, 4:25 am
A curated weekday guide to major national security news and developments over the past 24 hours. [read post]
24 Feb 2019, 8:45 am
(Rob Crilly, The National). [read post]
6 Feb 2020, 1:53 pm
The Examination Observations highlights the SEC’s growing interest in cybersecurity among its regulated entities and follows the SEC’s decision in December to permit the National Securities Clearing Corporation to enact a cybersecurity requirement of its own for its 3,000 members. [read post]
12 Mar 2019, 9:16 am
A proven track record of managing a healthy fundraising pipeline that achieved an organization’s revenue goals, preferably with corporate donors. [read post]
29 Jan 2018, 11:28 pm
National Student Marketing Corporation Stanley Sporkin began his crusade for gatekeeper liability over 40 years ago, way back in 1977, during the prime of his SEC enforcement director tenure, in an SEC enforcement action against the National Student Marketing Corporation (NSMC). [read post]
14 May 2019, 6:18 am
Interest in issues pertaining to national security required desirable. [read post]
24 Jan 2014, 12:57 am
In an unreported August 1, 2011 ruling in National Credit Union Administration v. [read post]
30 Apr 2012, 7:31 am
It was clear that Magna concerned securities regulators at least from a disclosure standpoint. [read post]
11 Apr 2017, 10:09 am
Apparently the Administration doesn’t like poor people in the United States any more than abroad, as it made clear by trying to end the Legal Services Corporation. [read post]
15 Oct 2014, 11:49 pm
What do those developments mean for national legal systems in the international legal order as a whole? [read post]
3 Mar 2023, 5:16 am
Together, the three points are based on a recognition that the goal is not perfect security but, rather, reasonable security. [read post]
7 Jun 2013, 9:43 am
While there will always exist questions of fact as to whether an Article 9 asset sale is commercially reasonable, Edgewater provides guidance to both debtors and their creditors as to a strategy found by one of the nation’s leading voices on corporate law to be commercially reasonable. [read post]
9 Oct 2018, 2:14 pm
As the letter we joined makes clear, the proposal suffers from numerous defects. [read post]
