Search for: "Working Group on Securities Disclosure Authority"
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14 Nov 2008, 2:26 am
The AIG disclosures out of which the class action arises are currently the subject of investigation by law enforcement authorities, and are alleged in the class action to have caused massive losses to Canadian investors. [read post]
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]
15 Nov 2020, 1:18 pm
The Ant Group statement said that the exchange had suspended the offering because Ant Group “may not meet listing qualifications or disclosure requirements due to material matters related to” the November 2 meeting, and also because of “the recent changes in the Fintech regulatory environment. [read post]
9 Jul 2020, 3:35 pm
Here is the authors’ article. [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]
30 Nov 2021, 8:01 am
Both brokers worked for Woodstock Financial Group, Inc., at the same time. [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]
2 Jun 2021, 7:05 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
27 May 2021, 7:47 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
2 Oct 2017, 8:11 am
More broadly, the agency is evaluating its cybersecurity risk governance structure, which has included the establishment of a senior-level cybersecurity working group and may include additional enhancements to promote the management and oversight of cybersecurity across the SEC’s divisions and offices.Other initiatives resulting from the general cybersecurity assessment Chairman Clayton initiated in May are ongoing or will commence shortly. [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 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]
25 Feb 2020, 2:32 pm
Here is the authors’ article. [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]
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]
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]
16 Jun 2021, 1:17 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
