Search for: "Working Group on Securities Disclosure Authority" Results 41 - 60 of 2,237
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4 Jun 2020, 1:20 pm by Shannon O'Hare
On May 27, 2020, the Department of Labor (the “DOL“) published a highly anticipated final rule in the Federal Register (the “Final Rule“) that provides new guidance with respect to furnishing certain required retirement plan disclosures electronically in order to comply with the information disclosure requirements under Title I of the Employee Retirement Income Security Act of 1974, as amended (“ERISA“). [read post]
10 Feb 2015, 6:37 am by Adam Weinstein
The Financial Industry Regulatory Authority (FINRA) recently brought a complaint against Source Capital Group, Inc. [read post]
9 Sep 2020, 6:06 am by Silver Law Group
Most recently, Hoffman was registered with Ameriprise Financial Services, LLC from 2016-2020 and prior to that, Hoffman worked for Wedbush Securities Inc. [read post]
22 Feb 2019, 8:25 am by Matthew Landis
You Should Be Thinking About Data Security; and When Does a Data Breach Require Disclosure Under Pennsylvania’s Data Breach Notification Act?. [read post]
8 Dec 2020, 7:46 am by Renae Lloyd
Robert Halldin Reportedly Barred after Allegations of Selling Securities away from Member Firm The Financial Industry Regulatory Authority has reportedly barred broker Robert Halldin from the securities industry. [read post]
9 Jan 2014, 7:53 pm by Benjamin Wittes
The authority to issue these national security letters (NSLs) is comparable to the authority to issue administrative subpoenas. [read post]
2 Mar 2021, 12:23 pm by Renae Lloyd
According to Bedwell’s broker profile, he has worked at 5 different firms during his 10 years in the securities industry. [read post]
22 May 2012, 1:05 pm by Cynthia Marcotte Stamer
The Department of Labor’s Employee Benefits Security Administration (EBSA) has made a technical correction to recently released participant-level fee disclosure regulation  (29 CFR § 2550.404a-5) contained in Field Assistance Bulletin No. 2012-02 (Fab 2012-02) as initially released on May 7, 2012. [read post]
22 Sep 2021, 10:28 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. [read post]
4 Aug 2021, 11:40 am by The White Law Group
When brokers abuse client accounts or conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
11 Jan 2021, 5:01 am by William Loomis, Stewart Scott
The Atlantic Council’s new project on software supply chain security, Breaking Trust, which we co-authored, shows that this kind of vulnerability results in some of the most consequential and sophisticated software supply chain attacks, often perpetrated by state-backed actors. [read post]
10 Mar 2017, 7:28 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]
11 Mar 2021, 8:30 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]
11 Mar 2021, 8:30 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]
26 Mar 2018, 12:06 pm 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]
17 Dec 2020, 11:55 am by Renae Lloyd
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]
9 Apr 2018, 8:27 am by Renae Lloyd
Prior to that, he worked for First Midwest Securities in Huntington, NY from May 2009 until March 2015. [read post]
5 Aug 2019, 9:05 am by Renae Lloyd
When brokers violate securities laws, such as participating in private securities transactions or taking loans from customers, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]