Search for: "Working Group on Securities Disclosure Authority" Results 61 - 80 of 2,237
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9 Jul 2018, 8:27 am by Renae Lloyd
By virtue of the foregoing, Biderman has been barred from working in the securities industry. [read post]
20 Sep 2019, 12:16 pm by Renae Lloyd
According to public disclosures on FINRA’s website, the regulator reportedly barred Ziesemer from working in the securities industry after he failed to respond to FINRA’s request for information in its investigation. [read post]
7 Oct 2019, 8:53 am by Renae Lloyd
Lamont from working in the securities industry for 18 months and fined him $10,000. [read post]
23 Sep 2021, 8:41 am by John Jascob
If certain digital assets and the products and services provided are not currently within the SEC’s clear authority, the group suggested that the Commission ensure that investors are well informed that they are not working with SEC-regulated entities.Investors in digital assets should know that their service providers may not be subject to the fiduciary duties that accompany securities-related activities, including brokers’ duty of best execution, the… [read post]
16 Jun 2022, 6:58 am by John Jascob
The SEC would be granted authority to exempt emerging growth companies from some of the disclosure requirements. [read post]
14 Jun 2021, 8:09 am by Devin DeBacker
Companies face only a patchwork of vague disclosure requirements imposed by state privacy laws, the Federal Trade Commission, securities laws, and industry-specific regulatory bodies. [read post]
21 Aug 2017, 1:30 pm by Renae Lloyd
 In the fourteen years that Diaz was working in the securities industry, he was purportedly fired by or allowed to resign from more than half of the eleven firms he was employed with. [read post]
15 Feb 2018, 2:31 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]
11 Jul 2022, 11:43 am by Irene
The post New DOL Policy Shields “Vulnerable Workers who Lack Work Authorization” from Deportation appeared first on Judicial Watch. [read post]
27 Dec 2017, 12:50 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]
6 May 2022, 8:10 am by Fabiola Schwarz
Group of Governmental Experts (GGE) and the Open-Ended Working Group (OEWG) underlined governments’ duty to encourage responsible reporting of vulnerabilities in 2021. [read post]
1 Dec 2020, 12:48 pm by Renae Lloyd
The Financial Industry Regulatory Authority (FINRA) barred Kubiak in October 2018 from working in the securities industry. [read post]
11 Apr 2016, 8:19 am by Mieke Eoyang, David Forscey
Such a working group could advise European data protection authorities on the approp [read post]
5 Sep 2019, 12:26 pm by Renae Lloyd
When brokers violate securities laws, such as participating in private securities transactions or engaging in outside business activities, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
14 Nov 2019, 6:32 am by Renae Lloyd
When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]