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The following discussion is based on statements made by CFTC staff and commissioners at the October 18 meeting as well as the CFTC-issued fact sheet and Q&A about the final rules. [read post]
24 Feb 2007, 2:41 pm
Brown said she did not know if the computer files would be re-entered.The Gary Post Tribune has an editorial today about the events. [read post]
26 Nov 2014, 3:26 pm by John Hochfelder
The high court noted that the issue of whether Gary and Evan sustained emotional distress injuries due to being placed in the zone of danger was not argued to the jury, addressed in the trial judge’s charge or submitted to the jury on the extensive verdict sheet. [read post]
25 May 2011, 10:49 pm by Stu Ellis
  Another decision aid to help with that choice is offered by Gary Schnitkey at Illinois. [read post]
14 Apr 2011, 2:00 pm by Lucas A. Ferrara, Esq.
Chairs are Sara Herbert-Galloway and Gary Springer, Springer Associates PR, Vice Chairs are Lenore Cooney, Cooney/Waters Group and Barry Klarberg, Monarch Wealth & Business Management. [read post]
2 Nov 2012, 7:50 am by Matt DeVries
Hat tip to Chris Smith and Gary Sanders of Brown & Brown of Tennessee for some of this information. [read post]
6 Jan 2011, 10:12 pm
An inventory sheet should be created and a bank employee should sign it along with the court officer. [read post]
SEC Chair Gary Gensler stated that Kardashian’s case is “a reminder to celebrities and others that the law requires them to disclose to the public when and how much they are paid to promote investing in securities. [read post]
11 Sep 2015, 10:26 am by Sabrina I. Pacifici
“This study provides potentially lifesaving information that will be useful to health care providers as they consider the best treatment options for some of their patients, particularly those over the age of 50,” said Gary H. [read post]
2 May 2007, 5:44 pm
That doesn’t compute when you look at the inventory numbers on the balance sheet. [read post]
2 Oct 2011, 7:23 am by William McGrath
(former chief financial officer Gary Crittenden and former head of investor relations Arthur Tildesley, Jr.), who agreed to pay $100,000 and $80,000 respectively to settle charges based on negligence (the SEC asserted the two men "should have known" that statements made by Citigroup were materially misleading). [read post]
12 May 2013, 6:33 am by Gritsforbreakfast
If JWP falls under federal indictment, a possibility that has loomed over the county for months, that won't look so great on his endorsement sheet. [read post]
13 Jul 2023, 5:22 am by Unknown
“Given the speed, scale, and volume of today’s market activity, I believe customers would benefit if broker-dealers carrying large credit balances made daily reserve account calculations and deposits,” said SEC Chair Gary Gensler.Current requirements. [read post]
25 Nov 2013, 4:30 am by David Markus
“I gave them to the internal affairs commander, Gary Smith. [read post]
27 Oct 2022, 5:39 am by Unknown
“I am pleased to support these final rules because they will help investors better understand fund disclosures and help ensure that the information investors receive in investment company advertisements is transparent and balanced,” said Chair Gary Gensler.The Commission adopted the amendments by a 5-0 vote. [read post]
11 May 2023, 5:22 am by Unknown
According to a fact sheet, the proposed rule changes would expand the current custody rule to protect a broader array of client assets and advisory activities to the rule’s protections; enhance the custodial protections that client assets receive under the rule; and update related recordkeeping and reporting requirements for advisers. [read post]
30 Aug 2021, 4:59 pm by John Jascob
"While these new technologies can bring us greater access and product choice, they also raise questions as to whether we as investors are appropriately protected when we trade and get financial advice," said SEC Chairman Gary Gensler in a public statement. [read post]