Search for: "Working Group on Securities Disclosure Authority"
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26 Dec 2013, 7:05 am
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]
10 Mar 2024, 2:56 pm
We have done a great deal of that work for public companies, their securities counsel, and their consultants and that work will grow exponentially under this new Final Rule as materiality appears now replaced by pages of prescriptive disclosures. [read post]
16 Mar 2018, 1:39 pm
According to his FINRA BrokerCheck Report, Woods was registered with 17 different firms during his 13 years working in the securities industry. [read post]
19 Dec 2013, 9:00 pm
National Security Letter (NSL) authorities should effectively be revoked. [read post]
11 Jul 2022, 11:29 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]
8 Sep 2022, 9:01 pm
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
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]
4 Jun 2018, 6:00 am
At the conclusion of the group’s work, we asked him to speak to the NSA workforce. [read post]
5 Dec 2013, 12:05 pm
Moreover, the letter indicates close cooperation with Canadian authorities on the matter. [read post]
6 Dec 2022, 11:07 am
The letter invites Congress to improve communications by passing legislation requiring federal agencies to invite state regulators to participate in any federal advisory council or similar working group convened to examine some aspect of the securities regulatory framework. [read post]
22 Oct 2019, 3:16 pm
The framework in the proposal is similar to the approach the Securities and Exchange Commission takes for certain investor disclosures. [read post]
16 Aug 2023, 9:04 am
The White Law Group reviews the regulatory history of Securities America Inc. [read post]
18 Jan 2024, 1:30 pm
The White Law Group reviews the regulatory history of Cabot Lodge Securities LLC. [read post]
7 Jan 2020, 8:30 am
Prior to joining Dawson James Securities in 2012, Armstrong worked for Aurora Capital LLC and Westpark Capital, Inc. [read post]
13 Feb 2019, 4:30 am
Matt is one of the founding members of the RKG Tech Law Group. [read post]
27 Jan 2020, 1:42 pm
Before joining Raymond James, Reznic worked for Pebsco Securities Corp. [read post]
4 Jun 2020, 1:20 pm
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
The Financial Industry Regulatory Authority (FINRA) recently brought a complaint against Source Capital Group, Inc. [read post]
9 Jul 2020, 1:15 pm
Taylor reportedly has six disclosure events on his broker record. [read post]
9 Sep 2020, 6:06 am
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]
