Search for: "Working Group on Securities Disclosure Authority"
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10 Oct 2014, 3:14 pm
[This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbSEC Chair Mary Jo White provided the Investor Advisory Committee with an update on its actions since the group last met, which included money market fund reforms, amendments to the registered asset-backed security disclosure regime, and finalization of over a dozen Dodd-Frank Act mandates related to conflict of interest and governance of credit rating agencies. [read post]
10 Apr 2023, 11:49 am
The White Law Group is investigating potential securities claims involving Arete Wealth Management. [read post]
17 May 2012, 2:54 pm
Substantial doubt may not be working for investors. [read post]
4 May 2022, 8:47 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
27 Dec 2023, 2:02 pm
With over 30 years of securities law experience, The White Law Group has the expertise to help investors to recover their securities fraud losses. [read post]
9 Jan 2025, 11:33 am
Howard Kavinsky Barred by FINRA According to public records on December 20th, 2024, The Financial Industry Regulatory Authority (FINRA) has barred Howard Kavinsky (CRD#: 5881623) from working as a broker. [read post]
10 Dec 2024, 2:00 am
Disclosure Requirements in Public Company M&A Transactions Understand disclosure requirements and practices associated with public company mergers to comply with securities laws and applicable exchange rules. [read post]
22 Feb 2023, 1:07 pm
It is also highly relevant to mediation and settlement conferences, as well as to discovery into legal analysis and work product related to various assertion, defenses, and damages doctrines. [read post]
21 Aug 2013, 7:50 am
The legal framework should protect the authorities and their current and former employees and agents against criminal and civil actions for breach of confidentiality based on the disclosure of information if the disclosure was made in accordance with the legal gateways, including any applicable conditions or safeguards.Where legal gateways are conditional on reciprocity, meaning that disclosure of information is only permitted if the jurisdiction of the recipient… [read post]
23 Sep 2021, 4:54 am
Security Along with privacy comes security. [read post]
13 Feb 2020, 6:51 am
By Lene Powell, J.D.The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has published a new strategy describing how ESMA will place sustainability at the core of its activities by embedding Environmental, Social, and Governance (ESG) factors in its work. [read post]
23 Feb 2009, 12:02 pm
" O'Brien says the public disclosure of D. [read post]
11 Dec 2014, 1:35 am
Securities and Exchange Commission rules that carry out procedures required by the 2010 Dodd-Frank financial reform law to protect whistleblowers and curb retaliation against them by employers, lawyers said.The law created a private cause of action for whistleblowers whose employers retaliate against them for lawfully providing information to the SEC, or making disclosures protected under the Sarbanes-Oxley governance law. [read post]
17 Dec 2024, 2:05 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
24 Feb 2023, 5:30 am
The White Law Group is investigating potential securities claims involving First Allied Securities. [read post]
22 Mar 2024, 9:07 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
12 Mar 2018, 12:42 am
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
24 Feb 2023, 12:58 pm
Organizations and their leaders risk, federal criminal liability from violations of an ever-growing multitude of federal tax, securities, cyber liability, labor and employment, safety, environmental and other laws. [read post]
9 Jun 2014, 6:50 am
However, it is sometimes possible to use disclosure as a means of provoking global discussion of issues and to induce states to reconsider the value of their internal positions, just as the process works for disciplining corporate behaviors (Larry Catá Backer, From Moral Obligation to International Law: Disclosure Systems, Markets and the Regulation of Multinational Corporations, 39 Georgetown Journal of Internatio [read post]
21 Mar 2024, 8:17 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
