Search for: "National Securities Clearing Corporation"
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22 Dec 2020, 9:43 am
Generally, every CA RIA that has custody of client funds or securities must maintain at all times a minimum net worth of $35,000. [read post]
21 Dec 2020, 4:01 am
The highest EU court perceives U.S. intelligence agencies to have the authority to collect excessive data to protect U.S. national security, and also ruled that such agencies suffer from perceived deficits of independent oversight and judicial redress rights and remedies—particularly for non-U.S. persons. [read post]
18 Dec 2020, 7:23 am
The new great power game is digital, with the shadowy alleys and cafes of Cold War spy games replaced by massive data breaches and compromising corporate security. [read post]
17 Dec 2020, 8:30 pm
Biden has made clear he wants a clean break from Trump, who employed his family and spent public funds at family businesses. [read post]
17 Dec 2020, 4:21 pm
What is clear is that businesses will have to address CCPA cookies compliance in a robust manner in 2021, if they have not already. [read post]
16 Dec 2020, 6:21 pm
International businesspersons are more interested in economies that enforce contracts, protect and secure property rights, and have simple and efficient dispute resolution mechanisms in place. [read post]
16 Dec 2020, 9:49 am
By Anne Sherry, J.D.The Corporate Transparency Act, Title LXIV of the National Defense Authorization Act, seeks to crack down on "malign actors" by making it more difficult to conceal their ownerships of corporations, LLCs, and similar entities. [read post]
10 Dec 2020, 8:30 pm
The reaction to former national security advisor Michael Flynn’s pardon, though muted, underscored the president’s broad clemency powers are increasingly viewed, like much else, along partisan lines: Democrats express outrage, and supporters of Trump cheer. [read post]
9 Dec 2020, 4:05 pm
Some justices were clearly concerned that striking down the removal restrictions could have significant and undesirable ripple effects – calling into question, for example, the validity of the Social Security Administration’s leadership structure. [read post]
8 Dec 2020, 2:29 pm
To the extent you need help identifying the most critical areas a cybersecurity insurer will look at, we think the answers are clear. [read post]
8 Dec 2020, 1:55 am
New York already imposes the nation’s second-highest tax burdens on individuals and fourth-highest burdens on businesses, leaving policymakers with little room to maneuver. [read post]
7 Dec 2020, 9:32 am
Embrace Use of Force StandardAn important first step in reining in police use of force is to set clear national standards, requiring all police departments to adhere to common-sense limitations and best practices based on principles of necessity, proportionality, and de-escalation. [read post]
4 Dec 2020, 1:23 pm
Joseph Stone Capital, LLC Riza Hernandez Lincoln Financial Securities Corporation Wells Fargo Advisors, LLC Donald Padilla National Securities Corporation National Asset Management Jon Sanchez Independent Financial Group LLC Morgan Stanley Joseph Shimko, Jr. [read post]
3 Dec 2020, 8:30 pm
National/Federal 12 Votes Separated These House Candidates. [read post]
3 Dec 2020, 8:33 am
It was ultimately determined that the largest secured creditor, Wells Fargo, had a secured claim of $51 million and it was secured by a lien on virtually all of the Debtor’s assets. [read post]
1 Dec 2020, 10:22 am
Prior to this current positions, he was the Mass Defense Coordinator at the National Lawyers Guild. [read post]
29 Nov 2020, 4:13 pm
The Telecommunications (Security) Bill aims to give the government unprecedented new powers to boost the security standards of the UK’s telecoms networks and remove the threat of high risk vendors to protect the UK from cyber threats. [read post]
25 Nov 2020, 9:23 am
One problem: It is entirely redacted, as it “contains material the publication of which at this stage could compromise potential criminal proceedings, as well as security classified information. [read post]
24 Nov 2020, 5:02 am
The rule requires that a firm or associated person have a clear understanding of the investor’s profile and needs in order to have a reasonable basis to believe a recommended transaction or investment strategy involving a security or securities is suitable for the customer. [read post]
24 Nov 2020, 5:02 am
The rule requires that a firm or associated person have a clear understanding of the investor’s profile and needs in order to have a reasonable basis to believe a recommended transaction or investment strategy involving a security or securities is suitable for the customer. [read post]
