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5 Feb 2019, 10:46 am by Jeffrey Fessler
On January 29, 2019, the Securities and Exchange Commission (“SEC”) settled charges with the following four public companies for alleged deficiencies in maintaining ICFR: Grupo Simec S.A.B. de C.V., CytoDyn, Inc., Lifeway Foods, Inc. and Digital Turbine, Inc. [read post]
3 Mar 2012, 6:31 am by Matteo Tonello, The Conference Board,
Tonello and Melissa Aguilar, Research Associate at The Conference Board, which is available here. [read post]
20 Mar 2015, 7:14 am by Adam Weinstein
Investors who have suffered losses may be able recover their losses through securities arbitration. [read post]
30 Jun 2018, 12:48 pm by Staff Attorney
  Forrest was formerly associated with American Portfolios Financial Services, Inc. [read post]
2 Jan 2014, 8:57 am by Lynn Sessions
(Affinity), to assess and identify the security risks and vulnerabilities associated with ePHI. [read post]
1 Aug 2017, 6:57 am by John Jascob
By contrast, Michael Rothman, president of the North American Securities Administrators Association, Inc., called Section 827 “baffling and misguided” in a statement to the House Financial Services Committee in advance of the House vote on the CHOICE Act. [read post]
11 Jun 2019, 11:17 am by John Elwood
National Association of African American-Owned Media, 18-1171, over its companion Charter Communications Inc. v. [read post]
23 Sep 2018, 2:53 pm by Staff Attorney
  From April 2013 through June 2014 Barnard was registered with Signal Securities, Inc. [read post]