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27 Jul 2022, 2:01 am
To discuss it, Lawfare publisher David Priess sat down with Juliette Kayyem, formerly assistant secretary for intergovernmental affairs at the Department of Homeland Security, who has served on the DHS Homeland Security Advisory Committee and has written the book, “The Devil Never Sleeps,” and also with Jonathan Wackrow, chief operating officer of Teneo Risk, who was a long-serving special agent in the Secret Service, including in the presidential protection… [read post]
11 May 2022, 6:37 am
Securities and Exchange Commission’s (SEC) Division of Examinations (the “Division”) released its 2022 examination priorities. [read post]
11 May 2022, 6:37 am
Securities and Exchange Commission’s (SEC) Division of Examinations (the “Division”) released its 2022 examination priorities. [read post]
18 Aug 2010, 2:22 am
Also affected are the state securities divisions which have laws and regulations referencing, or based on, various federal securities laws. [read post]
9 Dec 2011, 6:47 pm
Since researchers recently found flaws in Amazon Web Services that they believe exist in many cloud architectures and enable attackers to gain administrative rights and to gain access to all user data, in this Part Three and in Four of this article we'll discuss how you can evaluate the security of a cloud service and the contractual terms you should consider (or try to insert) into your cloud contracts. [read post]
7 May 2015, 4:00 am
ABM Security Services, No. [read post]
26 Nov 2013, 11:00 am
The Securities and Exchange Commission Division of Trading and Markets granted relief for institutional asset managers participating in a brokerage firm’s client commission arrangements. [read post]
18 Feb 2012, 10:09 am
On February 14, 2012, the Virginia Division of Securities and Retail Franchising proposed revised regulations exempting certain private fund managers from investment adviser registration with the Commonwealth of Virginia. [read post]
6 Mar 2012, 1:03 pm
“FIFA’s decision to appoint Ralf Mutschke to head its Security Division should be applauded. [read post]
7 Sep 2023, 7:00 am
The Securities and Exchange Commission tries to be transparent about the areas of examination. [read post]
21 Aug 2020, 3:00 am
DDS is a division of the Department of Rehabilitative Services (DORS), an umbrella agency that helps individuals with disabilities get back to work. [read post]
14 Jul 2021, 1:45 pm
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]
18 Oct 2018, 1:09 pm
The views expressed in this essay are entirely his own and do not reflect those of any U.S. government or other entity. *** The Unfinished Business of Information Sharing: Why the FBI’s Criminal Justice Information Services Division belongs with DHS Darren E. [read post]
10 Mar 2021, 4:28 pm
With respect to transfer agents, the Division will examine whether registered transfer agents servicing Digital Asset Securities are in compliance with SEC rules for registered transfer agents (e.g. accurate clearance and settlement of securities transactions. [read post]
30 Jun 2014, 2:38 pm
On June 26, 2014, Stephen Luparello, Director of the SEC's Division of Trading and Markets offered testimony before the United States House of Representatives Subcommittee on Capital Markets and Government Sponsored Enterprises, Committee on Financial Services. [read post]
29 Aug 2018, 10:07 am
On August 14, 2018, the Enforcement Section of the Massachusetts Securities Division (the “Division”) filed a Complaint against StockCross Financial Services, Inc. [read post]
16 Dec 2022, 11:34 am
Brown II of the SEC’s Division of Economic and Risk Analysis. [read post]
23 Dec 2019, 12:05 pm
The Securities and Exchange Commission today announced that Susan Nash, Associate Director and Senior Policy Advisor to the Director, Division of Investment Management, will retire from the SEC at the end of this month after 30 years of public service. [read post]
27 Jan 2022, 2:25 pm
The Securities and Exchange Commission today announced that Kristin Snyder, Deputy Director of the Division of Examinations (EXAMS), is leaving the agency at the end of this month after more than 18 years of service. [read post]
23 Dec 2011, 10:22 am
The Securities and Exchange Commission on Friday charged GE Funding Capital Market Services, a unit of General Electric Co., with securities fraud, in a case that resulted in two settlements totaling about $70 million. [read post]
