Search for: "Working Group on Securities Disclosure Authority" Results 21 - 40 of 2,242
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8 Oct 2013, 6:35 am by Barbara S. Mishkin
”  (The CFPB acknowledges in the supplementary information that it lacks authority to waive state disclosure requirements but states that it will endeavor to work with state regulators to secure their support for a particular trial disclosure program.) [read post]
14 Nov 2018, 9:56 am by Renae Lloyd
Harrington reportedly worked for 17 different firms during his 20 years working as broker in the securities industry. [read post]
14 Nov 2018, 9:56 am by Renae Lloyd
Harrington reportedly worked for 17 different firms during his 20 years working as broker in the securities industry. [read post]
7 Aug 2017, 3:24 pm by Kevin LaCroix
Securities and Exchange Commission, as these entities work toward developing strong regulatory, supervisory and other financial sector policies. [read post]
12 May 2015, 5:30 am by Jack Goldsmith
 The speech was entitled Toward Greater Transparency of National Security Legal Work. [read post]
7 Mar 2011, 8:06 pm by Cynthia Marcotte Stamer
  If you need assistance in auditing or assessing, updating or defending your health plan or policies, documents, practices or conduct, or other labor and employment, employee benefit, compensation, privacy and data security, or other related practices, please contact the author of this update, attorney Cynthia Marcotte Stamer here or at (469)767-8872. [read post]
6 Oct 2016, 6:21 pm by Robert E. Braun
California adopted the first data breach notification law in the nation in 2002, and has consistently worked to ensure that its law remains at the forefront of data security laws in the United States. [read post]
6 Oct 2016, 6:21 pm by Robert E. Braun
California adopted the first data breach notification law in the nation in 2002, and has consistently worked to ensure that its law remains at the forefront of data security laws in the United States. [read post]
21 Oct 2019, 10:52 am by Renae Lloyd
According public disclosures on the Financial Industry Regulatory Authority’s website on October 18, financial advisor Dennis Mehringer Jr. was reportedly barred from working in the securities industry after he allegedly failed to provide testimony in FINRA’s investigation into whether he “had engaged in unsuitable trading and other misconduct during the period from January 2017 through May 2018. [read post]
26 Dec 2013, 7:05 am by Benjamin Wittes
The Review Group would have such non-disclosure orders issue only with a specific finding that disclosure would threaten national security or otherwise threaten important interests. [read post]
16 Mar 2018, 1:39 pm by Renae Lloyd
According to his FINRA BrokerCheck Report, Woods was registered with 17 different firms during his 13 years working in the securities industry. [read post]
8 Sep 2022, 9:01 pm by Gary Gensler
I’m going to guess that you did not take on the work on behalf of a dispersed, unidentified group of individuals in an “ecosystem. [read post]
24 Aug 2012, 4:23 pm by BuckleySandler
Because it is authorized under Title X of Dodd-Frank, it is not subject to the Jan. 21, 2013 final rule deadline for rules under Title XIV of Dodd-Frank. [read post]
11 Jul 2022, 11:29 am by The White Law Group
           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]
5 Dec 2013, 12:05 pm by Paul Rosenzweig
Moreover, the letter indicates close cooperation with Canadian authorities on the matter. [read post]
4 Jun 2018, 6:00 am by Rick Ledgett
At the conclusion of the group’s work, we asked him to speak to the NSA workforce. [read post]
22 Oct 2019, 3:16 pm by Cynthia Marcotte Stamer
The framework in the proposal is similar to the approach the Securities and Exchange Commission takes for certain investor disclosures. [read post]
7 Jan 2020, 8:30 am by Silver Law Group
Prior to joining Dawson James Securities in 2012, Armstrong worked for Aurora Capital LLC and Westpark Capital, Inc. [read post]