Search for: "Security Services Division"
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21 Jun 2010, 12:41 pm
The Massachusetts Securities Division recently filed an administrative complaint against Banc of America Investment Services, charging it with misrepresentations in the sale of Fannie Mae/Freddie Mac Bonds. [read post]
9 Sep 2022, 1:05 pm
The Securities and Exchange Commission today announced plans to add an Office of Crypto Assets and an Office of Industrial Applications and Services to the Division of Corporation Finance's Disclosure Review Program (DRP). [read post]
21 Nov 2007, 6:00 am
” In a recent letter ruling indexed as document no. 200710979L in the Comptroller’s STAR research system, the Comptroller’s Tax Policy Division concluded that certain “video review services” were taxable as security services. [read post]
11 Sep 2019, 1:06 pm
Daly, Division of Corporation Finance Associate Director, will retire at the end of the month after more than 38 years of service at the SEC. [read post]
5 Aug 2008, 8:23 am
Regina (A) v Director of Establishments of the Security Service Queen’s Bench Division “The Investigatory Powers Tribunal did not have exclusive jurisdiction where a claim that a public authority proposed to act in a way incompatible with the European Convention on Human Rights brought up matters within its purview. [read post]
27 Oct 2015, 7:28 pm
The Massachusetts securities division has reportedly filed an administrative complaint against Fidelity Brokerage Services alleging the firm allowed unregistered individuals to act as investment advisors. [read post]
2 Oct 2014, 8:43 am
” Clancy personally led Obama's security before "he retired from the agency in July 2011 as special agent in charge of the Presidential Protective Division," NBC News wrote. [read post]
16 Jan 2013, 5:27 pm
In a detailed and substantive comment letter to the SEC, the Ohio Securities Division set forth a number of recommendations for the Commission to consider at it drafts regulations implementing the crowdfunding provisions (Title III) of the Jumpstart Out Business Startups (JOBS) Act. [read post]
2 Feb 2015, 4:00 am
ABM Security Services, Inc., ___ Cal.App.4th ___ (Dec. 31, 2014; pub. ord. [read post]
20 Jan 2012, 3:34 pm
”[3] As with the previous August 2011 order, the Indiana Securities Division has included language to indicate that this order is temporary, until the Securities Division decides on a more permanent approach. [read post]
31 Mar 2020, 5:00 pm
AmTrust Financial Services, Inc., addressing the following question: Can an issuer be held liable under the Securities and Exchange Act of 1933 for the failure to disclose the risk that certain securities could be delisted when the issuer never guaranteed the listing of such securities in the first instance? [read post]
16 Jul 2011, 8:24 am
A consent to service of process on either Form U-2 or Form 11 is no longer required by the Ohio Securities Division for Rule 506 notice filings, even though the Ohio Securities Act change at section 1707.11 eliminating the consent to service of process from Rule 506 notice filings does not take effect until September 28, 2011 and a proposed amendment to delete the requirement from Ohio rule 1301:6-3-03(G) has not yet been made.Please contact Mark… [read post]
2 Mar 2021, 6:36 am
Future examinations will include a review of whether registered transfer agents that service digital asset securities are in compliance with the SEC’s rules, according to the Alert. [read post]
21 Dec 2017, 7:31 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
15 Oct 2021, 1:08 pm
The Appellate Division recently issued a decision exploring the limits of progressive discipline in New Jersey civil service discipline in the case of Matter of Collins. [read post]
12 Mar 2020, 10:57 am
The Securities and Exchange Commission today announced that Kyle Moffatt, Chief Accountant and Disclosure Program Director in the Division of Corporation Finance, will leave the agency in March after nearly 20 years of public service. [read post]
23 Jan 2017, 7:59 am
Additional Resources: Social Security service declines as waits at offices grow, December 9, 2016, By Joe Davidson, The Washington Post More Bog Entries: Social Security Disability Judges Allegedly Used Racial and Sexual Terms on Claimants’ Applications, July 22, 2016, Boston SSDI Lawyer Blog The post Social Security Disability Services Reduced Due to Budget Cuts appeared first on Massachusetts Social Security Disability Lawyers Blog. [read post]
6 Mar 2015, 4:00 am
In Securitas Security Services USA, Inc. v. [read post]
18 Aug 2021, 10:05 am
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
19 Jan 2021, 2:11 pm
Parratt, Acting Director of the SEC's Division of Corporation Finance, is retiring next month after 35 years of service to the Commission. [read post]
