Search for: "Integrated Financial Associates Inc"
Results 61 - 80
of 783
Sorted by Relevance
|
Sort by Date
28 May 2019, 2:14 pm
Over my career at the SEC, I have been continually impressed by the commitment, integrity, and enthusiasm demonstrated by the San Francisco examination and enforcement staff every day. [read post]
27 Jan 2020, 3:45 pm
Earlier this month, the Financial Industry Regulatory Authority, Inc. [read post]
6 Jun 2019, 1:44 pm
As an Associate Director, Mr. [read post]
17 Dec 2014, 8:10 am
Integrated Trading and Investments, Inc. [read post]
21 Feb 2012, 2:55 am
In this case, a close personal friendship and a business relationship clearly counted as "closely associated. [read post]
24 Apr 2019, 8:06 am
(“Unison”) and M3 Inc. [read post]
27 Oct 2011, 9:24 am
Citing weaknesses in the Financial Industry Regulatory Authority’s training, policies and procedures, the SEC ordered FINRA to hire an independent consultant and undertake other remedial measures to improve its document production during SEC inspections.As charged, the director of FINRA’s Kansas City office caused the alteration of three records of staff meeting minutes just hours before producing them to the SEC inspection staff, making the documents inaccurate and… [read post]
1 Aug 2017, 6:57 am
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]
22 Sep 2010, 5:38 am
(A recent study on law firm associates found that black associates on average receive the lowest financial compensation even though a higher percentage of them took out student loans and were more likely to have over $100,000 in school debt). [read post]
27 Jul 2022, 7:04 am
“The crimes we allege threaten both the integrity of our financial markets and investors’ faith in them,” said FBI Assistant Director-in-Charge Michael J. [read post]
9 Jul 2021, 5:50 am
Puchniak (National University of Singapore), on Friday, July 2, 2021 Tags: Controlling shareholders, Corporate purpose, ESG, Financial crisis, Institutional Investors, International governance, Short-termism, Stewardship, Stewardship Code, Systemic risk, UK, UK Corporate Governance Code Key Considerations for Companies Looking to Integrate ESG and DE&I Into Compensation Programs Posted by Blair Jones, Semler… [read post]
3 Dec 2020, 8:43 am
., December 3, 2020 – Exterro Inc., the preferred provider of Legal GRC software and the Association of Corporate Counsel’s exclusive Alliance Partner for E-Discovery, Data Privacy and Cybersecurity Compliance, announced today it has acquired AccessData, the industry’s leading provider of digital forensic investigation technology. [read post]
28 Jun 2010, 2:20 am
Event: Asset Liability Management Location: Singapore July 19-21 Sponsor: Infocast, Inc. [read post]
1 May 2014, 6:26 am
Cohen, associate director of the SEC's Division of Enforcement. [read post]
9 Mar 2017, 5:40 am
By Amy Leisinger, J.D.The North American Securities Administrators Association, Inc. has filed an amicus brief urging the Supreme Court to overturn the Second Circuit’s decision that the tolling rule set forth in American Pipe & Construction Co. v. [read post]
11 Jan 2007, 8:38 pm
"Settlement Planning involves the integration of myriad fields of study when intelligently developing and implementing the injured victim's future financial road map. [read post]
5 Dec 2017, 12:01 pm
Romano, Seyfarth, Shaw, Washington, D.C., for amici National Association of Recording Merchandisers, Inc. and Video Software Dealers Association. [read post]
6 Dec 2017, 1:19 pm
105 S.Ct. 2218 85 L.Ed.2d 588 HARPER & ROW, PUBLISHERS, INC. and the Reader’s Digest Association, Inc., Petitionersv.NATION ENTERPRISES and the Nation Associates, Inc. [read post]
11 Oct 2023, 6:54 am
Cardiac Imaging Inc., et al., No. 18-cv-2674 (S.D. [read post]
28 Feb 2013, 12:38 pm
Mitek Systems, Inc., 2013 WL 652420 (W.D. [read post]
