Search for: "Working Group on Securities Disclosure Authority" Results 41 - 60 of 2,462
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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]
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]
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]
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]
5 Dec 2013, 12:05 pm by Paul Rosenzweig
Moreover, the letter indicates close cooperation with Canadian authorities on the matter. [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]
6 Dec 2022, 11:07 am by Unknown
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]
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]
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]
19 Jul 2023, 9:05 pm by renholding
Although not a silver bullet, it is likely to have positive consequences of decreasing GHGs, advancing work to prepare for the worsening physical impacts of climate change, and encouraging climate friendly innovations.[10] The SEC and possibly California are not the only authorities that are expanding their securities and corporate disclosure requirements to encompass more information about climate change. [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]