Search for: "Working Group on Securities Disclosure Authority"
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17 Apr 2023, 6:05 am
Teixeira’s choice of a gaming platform to make disclosures to a group of boys some of whom may not even have been old enough to enlist in the military, in an apparent attempt to impress them, underscores this point. [read post]
19 May 2016, 8:51 am
Elizabeth Stoycheff, Wayne State University assistant professor of journalism and new media and study author, writes: This is the first study to provide empirical evidence that the government’s online surveillance programs may threaten the disclosure of minority views and contribute to the reinforcement of majority opinion… These individuals expressed that surveillance was necessary for maintaining national security and they have nothing to hide. [read post]
18 Jun 2018, 3:00 am
Here are my three main blogs on the securities law aspects of this topic: – A Delicate Disclosure Issue: Steve Jobs’ Health – More on Steve Jobs & Disclosure of Health Issues – A Recap of Thoughts on Apple & Illness Disclosures – Broc Romanek [read post]
10 Jun 2021, 2:10 am
If you are a financial service employee, such as a broker, investment advisor, wealth manager, capital acquisition broker, work with funding portals or provide similar services, you are mostly likely subject to rules and regulations governed by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Nov 2021, 8:01 am
Both brokers worked for Woodstock Financial Group, Inc., at the same time. [read post]
7 May 2024, 7:35 am
He had been a veteran in the securities industry for 37 years and worked at SagePoint from 2005 until December 2023. [read post]
27 Aug 2008, 12:00 am
Here's how it works. [read post]
3 Feb 2015, 11:30 am
The Snowden disclosures revealed that the government interprets Sec. 215 to authorize the bulk collection of private records about all Americans. [read post]
9 Mar 2017, 4:18 am
In any case, the information our government declares secret is available to a very large group of people. [read post]
27 Oct 2023, 10:41 am
Private Securities Transactions Engaging in private securities transactions without proper disclosure and approval from the firm can be a violation. [read post]
20 May 2019, 2:38 am
Under this Regulation, the European Supervisory Authorities (ESAs) are asked produce joint technical standards on the public disclosure of “principal adverse impacts” of investment decisions on sustainability factors; product specific disclosure showing how products fulfil environmental or social characteristics; and how to market sustainable investments; the ESAs will coordinate work with each other to produce the requested draft technical standards. [read post]
10 Nov 2015, 5:45 am
However, Savoie’s Brokercheck disclosures reveal several outside business activities including working for the Savoie Financla Group, LLC in Baton Rouge, LA and as being and independent insurance agent for various companies. [read post]
20 Sep 2023, 5:52 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
24 Jul 2023, 3:58 am
All members use the collaborative mark to identify themselves as part of that group. [read post]
31 Jul 2009, 12:37 pm
Co-chaired by Hans Hoogervorst, Chairman, AFM (the Netherlands Authority for the Financial Markets) and Harvey Goldschmid, former Commissioner, US Securities and Exchange Commission, the FCAG met six times from January to July 2009. [read post]
6 Jun 2023, 7:02 am
As Espionage Act cases develop and move toward the center of public view, the American audience should understand how these unusual prosecutions work. [read post]
4 Jan 2024, 10:56 am
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 through FINRA Arbitration. [read post]
3 Sep 2013, 8:06 am
In Germany, the Federal Office of Criminal Investigation, the Bundeskriminalamt (BKA), has broad authority in investigations that concern national security or terrorism. [read post]
5 Aug 2024, 12:22 pm
HIPAA Right Of Access Rule HIPAA’s Privacy Rule right of access (“Access Rule”) is part of the national standards that HIPAA Privacy, Security, and Breach Notification Rules (“Privacy Rule”) require that Covered Entities and their business associates meet for protecting to protect individuals’ protected health information (“PHI”), limit uses and disclosures of PHI, and give individuals the right to timely access and to obtain a… [read post]
14 Feb 2023, 6:51 am
The report also contains these other suggestions for Congress that NASAA believes will help the capital markets:Congress should update and enhance the SEC’s civil penalties statute by increasing the statutory limits on civil monetary penalties, directly linking the size of these penalties to the scope of harm and associated investor losses, and substantially raising the financial stakes for repeat securities law violators.Congress should require the federal financial regulators to… [read post]
