Search for: "Security Services Division"
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31 Aug 2017, 2:11 pm
The Securities and Exchange Commission today announced that Dalia Blass has been named Director of the agency's Division of Investment Management.The SEC's Division of Investment Management works to protect investors and to promote capital formation and innovation in investment products and services through oversight and regulation of the nation’s multi-trillion dollar investment management industry. [read post]
25 Jul 2022, 9:01 pm
The Division conducts investigations into possible violations of the federal securities laws and prosecutes the Commission’s civil suits in the federal courts and in administrative proceedings. [read post]
1 Feb 2022, 7:11 am
Massachusetts’ Securities Regulator Says Fidelity Brokerage Services “Rubber Stamped” Options Trading Applications William Galvin, head of the Massachusetts Securities Division, has filed an administrative complaint against Fidelity Brokerage Services. [read post]
19 Jan 2018, 11:43 am
Department of Health and Human Services (HHS) has formed a new Conscience and Religious Freedom Division in the HHS Office for Civil Rights (OCR). [read post]
29 Oct 2010, 3:45 am
The Appellate Division ruled that Castro had forfeited his disability retirement allowance as he was discharged before he retired on ordinary disability, i.e., he was not in service on the effective date of his retirement.* Retirement and Social Security Law Section 381-b[b][3] provides as follows: (3) Upon attainment of the mandatory retirement age without completion of twenty years of such service, each such member shall receive a pension which, together with an… [read post]
1 Apr 2012, 9:03 pm
On March 29, 2012, Director of the Federal Reserve’s Division of Consumer and Community Affairs Sandra Braunstein testified before the Senate Banking Committee on consumers’ use of mobile financial services. [read post]
4 Nov 2019, 5:30 am
The Western District of Texas, San Antonio Division has ordered a proposed class-action Employee Retirement Income Security Act lawsuit to individual arbitration. [read post]
10 Jan 2020, 6:10 pm
Singapore – Kroll, a division of Duff & Phelps, a global leader in risk mitigation, investigations, compliance, cyber resilience, security and incident response solutions, today [January 10, 2020] announced that it has expanded its cybersecurity offerings with the acquisition of RP Digital Security, a Singapore-headquartered leader in computer forensic investigations, digital security and eDiscovery services. [read post]
13 Jun 2022, 6:56 am
HE CAN BE REACHED AT JNEWMAN@NEWMANSHAPIRO.COM OR AT 617-823-3217 The post Charles Schwab Cop to pay $200 million to the Securities & Exchange Commission regarding Schwabs automated software portfolio management services appeared first on Newman & Shapiro. [read post]
18 May 2018, 12:14 pm
Steven Larson and Michael Standley owned Oakbridge Financial Services along with Kathy Winter. [read post]
8 Mar 2011, 12:31 pm
The House Financial Services Capital Markets Subcommittee will hold a hearing on March 10 on “Oversight of the Securities and Exchange Commission’s Operations, Activities, Challenges and FY 2012 Budget Request,” at which the directors of the agency's five divisions will... [read post]
14 May 2015, 7:57 am
In addition, funds and advisors who rely upon service providers in carrying out their operations should consider assessing whether the service providers have protective cybersecurity measures in place. [read post]
29 Apr 2019, 7:01 pm
A riding lawn mower that had been used exclusively by the husband may never be used by the wife who intends to hire a service to mow the lawn. [read post]
3 Jun 2019, 2:11 pm
“The Enforcement Division is committed to fighting for our country’s educators, service members, and veterans, who may be vulnerable to fraud in the securities markets,” said Steven Peikin, Co-Director of the SEC’s Enforcement Division. [read post]
7 Jul 2011, 5:45 pm
In Securitas Security Services USA, Inc. v. [read post]
6 Apr 2012, 8:29 am
Homeland Security and Emergency Management Agency. [read post]
14 Jun 2021, 9:05 am
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
23 Aug 2021, 2:30 pm
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
23 Jan 2018, 2:57 pm
Existing federal laws also prohibit discrimination in employment for recipients of HHS federal financial assistance, under laws such as the Social Security Act, the Public Health Service Act, and the Family Violence Prevention and Service Act. [read post]
23 Jan 2018, 2:57 pm
Existing federal laws also prohibit discrimination in employment for recipients of HHS federal financial assistance, under laws such as the Social Security Act, the Public Health Service Act, and the Family Violence Prevention and Service Act. [read post]
