Search for: "Working Group on Securities Disclosure Authority"
Results 61 - 80
of 2,302
Sorted by Relevance
|
Sort by Date
9 Apr 2018, 8:27 am
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
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]
9 Jul 2018, 8:27 am
By virtue of the foregoing, Biderman has been barred from working in the securities industry. [read post]
20 Sep 2019, 12:16 pm
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]
23 Sep 2021, 8:41 am
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
The SEC would be granted authority to exempt emerging growth companies from some of the disclosure requirements. [read post]
7 Oct 2019, 8:53 am
Lamont from working in the securities industry for 18 months and fined him $10,000. [read post]
19 Dec 2017, 7:39 am
Koonce has six disclosure events listed on his Broker Report. [read post]
17 Mar 2021, 9:51 am
The White Law Group is investigating potential securities claims involving Cambridge Investment Research Inc. [read post]
14 Jun 2021, 8:09 am
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]
25 Sep 2019, 6:36 am
According to public disclosures on FINRA’s website, Craig L. [read post]
21 Aug 2017, 1:30 pm
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]
26 Mar 2011, 3:10 pm
Traditionally, securities regulators have focused on transparency and disclosure. [read post]
15 Feb 2018, 2:31 pm
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 Nov 2020, 12:09 pm
Lamont from working in the securities industry for 18 months and fined him $10,000. [read post]
11 Jul 2022, 11:43 am
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
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
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
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
Such a working group could advise European data protection authorities on the approp [read post]
