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The Working Group on Securities Disclosure Authority respectfully submits these comments on the Commission’s recent proposal related to mandated, standardized climate-related disclosures for investors. [read post]
23 May 2019, 6:39 am by Silver Law Group
She previously worked with Retirement Investment Group (CRD#: 7421), also in Houston. [read post]
16 Oct 2018, 7:55 am by John Jascob
As a result, market participants historically have worked together to develop voluntary disclosure guidelines and best practices. [read post]
24 Jun 2019, 12:49 pm by ccollins
After failing to cooperate in a probe into allegations of securities violations, George Merhoff, a former ex-Cetera Financial Group adviser, has been barred by the Financial Industry Regulatory Authority (FINRA). [read post]
17 Dec 2019, 5:00 am by Preston Lim
This is the first time the federal government has ever issued a security certificate, a legal mechanism that allows the attorney general to block the disclosure of information if disclosure would harm Canada’s national security interests. [read post]
10 Jun 2020, 8:16 am by Renae Lloyd
Broker Dee Dee Brooks, Signator Investors in Huntington Beach, CA Signator Investors Advisor Reportedly Barred after Allegations of FIP & Woodbridge Recommendations According to disclosures on the Financial Industry Regulatory Authority (FINRA) website on June 9, the regulator has reportedly barred financial advisor Dee Dee Brooks from working in the securities industry. [read post]
7 Oct 2021, 6:13 am by Silver Law Group
Our team of lawyers works closely with our San Francisco based co-counsel to pursue claims of securities and investment fraud. [read post]
20 Apr 2012, 8:35 pm by James Hamilton
 European Securities and Markets Authority (ESMA) representatives gave a presentation about their November 2011 consultation paper considerations of materiality in financial reporting (which was available for public comment until 29 February 2012). [read post]
28 Dec 2020, 10:48 am by Renae Lloyd
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
Following that consultation the FSA stated in October 2009 that it would maintain its current requirements and work with CESR to find an agreed European-wide disclosure regime for short selling. [read post]
30 Jun 2016, 1:07 pm by Joseph Marquette
Here are the key issues and how to best deal with them. 1) Fluid and distributed work force Teams of volunteers often move in and out of Legal Aid groups. [read post]
30 Jun 2016, 1:07 pm by Joseph Marquette
Here are the key issues and how to best deal with them. 1) Fluid and distributed work force Teams of volunteers often move in and out of Legal Aid groups. [read post]
3 Jan 2020, 1:37 pm by Silver Law Group
The customer alleged that Barrios traded stocks without his authorization or disclosure. [read post]
28 Jun 2022, 6:41 am
In our view, the proposed rule is a core exercise of the SEC’s well-established authority to require disclosure necessary and appropriate to protect the integrity of our nation’s securities markets and the investors in those markets. [read post]
28 Jun 2022, 6:41 am
In our view, the proposed rule is a core exercise of the SEC’s well-established authority to require disclosure necessary and appropriate to protect the integrity of our nation’s securities markets and the investors in those markets. [read post]
9 Jul 2019, 9:48 am by ccollins
Previous brokerage firms that he worked with include McGinn Smith & Co., Benson York Group, RD White & Co., and LCP Capital Corp. [read post]
25 Jun 2019, 12:44 pm by Tom Zagorsky
” The MSD claims that it obtained “valuable feedback” from “current and prospective clients” as part of its “Fee Table working group,” and that “[g]enerally, the clients and prospective clients surveyed found the Fee Table easier to use than the narrative disclosure in the [Form ADV] Brochure. [read post]
12 Apr 2019, 6:29 am by Silver Law Group
Silver Law Group represents investors in securities and investment fraud cases against investment firms such as SagePoint Financial. [read post]