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27 Jan 2011, 11:36 am
While the section does not specifically mention the issue of financial planners’ titles and designations, GAO believes that the confusion over titles used by financial planners could potentially be addressed or mitigated if the SEC incorporated this issue into its overall review of financial literacy among investors. [read post]
24 Aug 2022, 9:01 pm
The SEC stated that “the Commission will hold investment advisers accountable when they do not accurately describe their incorporation of ESG factors into their investment selection process. [read post]
24 Jul 2018, 5:21 am
In addition, the party-state embraces an expansive conception of national security that incorporates economic welfare and an array of other objectives. [read post]
10 Dec 2009, 6:09 am
For a discussion of the amendments specifically affecting registered investment companies, see our companion publication, also issued today, titled Use of Credit Ratings Under the Investment Company Act of 1940. [read post]
6 Feb 2012, 8:25 pm
—For purposes of this section—(1) the term "agency" means agency as defined in section 552(e) [now 552(f)] of this title;And 5 U.S.C. [read post]
8 Jul 2007, 11:02 am
(3) Preservation of certain actions (A) Actions under State law of State of incorporation (i) Actions preserved Notwithstanding paragraph (1) or (2), a covered class action described in clause (ii) of this subparagraph that is based upon the statutory or common law of the State in which the issuer is incorporated (in the case of a corporation) or organized (in the case of any other entity) may be maintained in a State or Federal court by a private party. [read post]
2 Jun 2023, 2:00 am
”In a statement released by the agency, EEOC Chair, Charlotte A. [read post]
27 Dec 2020, 9:07 am
For federal contractors and subcontractors, it will mean closely tracking and incorporating published security standards and guidelines by NIST, as well as being prepared to receive and act on information about potential security vulnerabilities received from federal agencies concerning devices and systems, and disseminate information on resolutions for those vulnerabilities. [read post]
12 Dec 2022, 5:24 am
Division E, Title LVIII of the House version of the NDAA contains the Financial Data Transparency Act, which would add a new Section 124 to the Financial Stability Act of 2010 (i.e., Title I of the Dodd-Frank Act). [read post]
23 Nov 2020, 7:54 am
He noted that since the asset-backed securities rules were revised in 2014, no SEC-registered offerings of residential mortgage-backed securities (RMBS) have occurred. [read post]
11 Mar 2021, 2:29 am
Unfortunately, many of the concerns raised at fair hearings by MassHealth agency lawyers lack serious legal research and call upon hearing officers to focus on phrases instead of reading the trust as a whole as the agency had urged the courts to do in the Doherty case. [read post]
9 Jun 2015, 6:32 pm
These guidelines come from a Dictionary of Occupational Titles (DOT) and list a series of outdated job requirements. [read post]
10 May 2024, 6:45 am
Potential land use plan amendments may also involve updating design features and environmental evaluation processes and incorporating new information and additional environmental analysis. [read post]
21 Feb 2019, 8:40 am
To conclude otherwise would put the Company in a position of taking actions that the chief legal officer of its state of incorporation has determined to be illegal. [read post]
5 Apr 2024, 6:05 am
This provision incorporates the Lee-Leahy amendment, which passed the Senate by a vote of 77–19 in 2020. [read post]
15 Apr 2020, 6:20 am
” [….]* * *Here are a handful of titles that help one understand the immense importance of this UN agency responsible for international public health:Fidler, David P. [read post]
17 Aug 2011, 7:55 pm
Department of Labor’s Occupational Safety and Health Administration (“OSHA”) enforce to protect employees who report violations of workplace safety, airline, commercial motor carrier, consumer product, environmental, financial reform, food safety, health care reform, nuclear, pipeline, public transportation agency, railroad, maritime, and securities laws. [read post]
14 Aug 2017, 12:07 pm
Refines legal writing generated by the practicum and incorporating it into briefing associated with ICAP litigation. [read post]
17 May 2010, 4:21 pm
Not later than 1 year after the date of enactment of this Act, the Commission shall issue rules for the disqualification of offerings and sales of securities made under section 230.506 of title 17, Code of Federal Regulations, that-- (1) are substantially similar to the provisions of section 230.262 of title 17, Code of Federal Regulations, or any successor thereto; and (2) disqualify any offering or sale of… [read post]
21 Aug 2017, 9:30 am
Refines legal writing generated by the practicum and incorporating it into briefing associated with ICAP litigation. [read post]
