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7 Jan 2021, 11:53 am
According to its FINRA Broker Report, the firm reportedly has 16 disclosure events on its broker record including 14 regulatory events, and 2 arbitrations. [read post]
18 Apr 2016, 4:50 pm
As noted in a recent article, over 80 bankruptcies in the oil industry were filed in 2015, up 471 % over calendar year 2014.[1] More are predicted in 2016 if things do not improve.[2] We have unfortunately seen this sort of economic swing before, and it is generally not pretty. [read post]
28 Nov 2023, 4:50 pm
The program focuses on financial reports and audits of listed entities, significant public interest entities or other unlisted entities of interest. [read post]
15 Feb 2018, 4:41 pm
The criminal enforcement provisions of HIPAA authorize the Justice Department to prosecute a person who knowingly in violation of the Privacy Rule (1) uses or causes to be used a unique health identifier; (2) obtains individually identifiable health information relating to an individual; or (3) discloses individually identifiable health information to another person, punishable by the following criminal sanctions and penalties: A fine of up to $50,000, imprisoned not more… [read post]
15 Oct 2010, 8:34 am
The new rules must (1) require any securitizer, as defined in the Dodd-Frank Act, to disclose fulfilled and unfulfilled repurchase requests across all of its securitization trusts, so that investors may identify asset originators with clear underwriting deficiencies and (2) require each nationally recognized statistical rating organization (NRSRO) to include in any report accompanying a credit rating of asset-backed securities a description of the representations,… [read post]
9 Mar 2016, 12:33 pm
As a reminder, key concerns of the Schrems ruling included: (1) the indiscriminate and excessive government access to EU citizens’ personal information, and (2) the lack of judicial redress mechanisms for EU citizens for privacy related complaints. [read post]
30 Nov 2011, 12:27 pm
Code § 1039(h)(2) (incorporating 47 U.S. [read post]
5 Aug 2016, 2:35 am
Rank (CSR) Name Average Count (CSR) Faculty (CSR) Pubs (NRC) GRE (NRC) 1 Carnegie Mellon University 18.3 122 2 791 2 Massachusetts Institute of Technology 15 64 3 772 3 Stanford University 14.3 55 5 800 4 University of California–Berkeley 11.4 50 3 789 5 University of Illinois–Urbana-Champaign 10.5 55 3 772 full table 45 Yale University 1.5 18 2 800 45 University of Virginia 1.5 18 2 789 45 University of Rochester 1.5 18 3 786 48 Arizona State… [read post]
21 Aug 2012, 5:15 pm
These corporations enabled Baisden to prepare income tax returns that avoided the assessment and payment of over $2 million in taxes owed to the United States by Baisden’s clients. [read post]
9 Oct 2009, 11:07 pm
.* Topic 1: Introduction, Air, Water, and Toxics. [read post]
14 Apr 2010, 5:26 am
Top Ten Tips for Lenders 1. [read post]
21 Mar 2016, 6:51 am
You and your attorney can discuss using complex strategies to manage expenses such as creating life insurance trusts, business entities, and trust agreements. [read post]
23 Nov 2008, 11:38 pm
I submit you have two tools at your disposal: (1) Communication; and (2) Behavioral Incentives. [read post]
17 Apr 2019, 6:30 am
1. [read post]
3 Feb 2011, 7:40 am
Clarification of basis step-up for partnership entities [read post]
10 Apr 2012, 5:00 am
1. [read post]
9 Nov 2012, 5:31 am
Most of the conduct which can constitute an "Offense" is catalogued in Section 1 of Canon IV.4. [read post]
18 Feb 2008, 3:38 pm
Here's the injunction ordering the take down of the domain (2 pages). [read post]
24 Aug 2011, 2:47 am
Because most manager entities are formed in Delaware, but are operating in another state, it is necessary to register them in their home state; this process is also known as qualifying the entity to conduct business, or applying for authority to conduct business, in the state where they are located. [read post]
29 Nov 2017, 4:23 pm
Id. at 2. [7] Urska Velikonja, Behind the Annual SEC Enforcement Report: 2017 and Beyond 1 (November 19, 2017), available here. [8] Id. at 2, 4-6. [9] Id. at 5, n. 6. [10] See id. at 5, n. 7. [11] See id. at 4. [12] S.E.C. [read post]
