Search for: "Working Group on Securities Disclosure Authority" Results 161 - 180 of 2,581
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10 Oct 2014, 3:14 pm by John Jascob
[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 by The White Law Group
The White Law Group is investigating potential securities claims involving Arete Wealth Management. [read post]
25 Jul 2017, 1:31 pm by Mark Astarita
 The federal securities laws provide disclosure requirements and other important protections of which investors should be aware. [read post]
15 Aug 2021, 9:05 pm by Anita L. Allen
The OCR has investigated national pharmacy chains, major medical centers, group health plans, hospital chains, and small provider offices. [read post]
4 May 2022, 8:47 am by The White Law Group
             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]
13 Jan 2021, 9:25 am by Renae Lloyd
  The Financial Industry Regulatory Authority’s findings stated that Michael Tavel purportedly participated in private securities transactions away from his member firm without providing a written disclosure to the firm and he allegedly falsely attested to the firm that he had not solicited any unapproved private placements. [read post]
27 Dec 2023, 2:02 pm by The White Law Group
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]
23 Oct 2019, 1:27 pm by Renae Lloyd
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 Franklin, Tennessee. [read post]
22 Feb 2023, 1:07 pm by Dennis Crouch
  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 by James Hamilton
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]
13 Feb 2020, 6:51 am by John Jascob
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]
11 Dec 2014, 1:35 am by Jon Gelman
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]
24 Feb 2023, 5:30 am by The White Law Group
The White Law Group is investigating potential securities claims involving First Allied Securities. [read post]
7 May 2019, 1:48 pm by Mikhaila Fogel
Matthew Kahn shared a Lawfare Podcast bonus episode, in which Jack Goldsmith discusses “Of Privacy and Power, The Transatlantic Struggle Over Freedom and Security” with the book’s authors, Henry Farrell and Abraham Newman. [read post]
22 Mar 2024, 9:07 am by The White Law Group
  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]
6 Jul 2017, 12:02 pm by Renae Lloyd
The SEC staff states that Henn, who has worked at Barclays since 2008, and Alfaro, who worked at First Bank Puerto Rico Securities before moving to Barclays in 2013, allegedly violated securities and municipal bond rules on fraud, deception and misrepresentation during the sale of Puerto Rico bonds. [read post]