Search for: "Working Group on Securities Disclosure Authority"
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24 Jan 2024, 9:01 pm
The Commission lacks statutory authority to outright ban making investments in SPACs or becoming a reporting company via a de-SPAC transaction. [read post]
24 Jan 2024, 4:57 pm
The UN Human Rights Council’s Universal Periodic Review (UPR) Working Group examined the human rights record of China, one of the 14 states reviewed during this year’s session, for the fourth time on Tuesday in a meeting at Geneva. [read post]
24 Jan 2024, 1:47 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
24 Jan 2024, 1:37 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
24 Jan 2024, 7:51 am
How does the Program Work? [read post]
23 Jan 2024, 2:04 pm
LinkedIn SLP Health Care Risk Management & Operations Group, HR & Benefits Update Compliance Group, and/or Coalition for Responsible Health Care Policy If you or someone else you know would like to receive future updates about developments on these and other concerns, please be sure that we have your current contact information including your preferred e-mail by creating your profile here. [read post]
23 Jan 2024, 11:28 am
Department of Homeland Security. [read post]
18 Jan 2024, 1:30 pm
The White Law Group reviews the regulatory history of Cabot Lodge Securities LLC. [read post]
16 Jan 2024, 1:19 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
9 Jan 2024, 6:47 am
” “FARA mandates foreign principals and their advisers make disclosures when engaging in certain activities designed to influence the US government. [read post]
8 Jan 2024, 2:10 pm
For example, even if the Right of Access Rule does not require disclosure of protected health information because it is not considered part of a designated record set, a health plan still be required to disclose the record if required by the adverse benefit determination rules of the Patient Protection and Affordable Care Act (“ACA”), claims and appeals rules of the Employee Retirement Income Security Act or other applicable law, regulation or another law. [read post]
8 Jan 2024, 6:55 am
In other words, Trump’s delay-by-appeal strategy is working. [read post]
4 Jan 2024, 10:56 am
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 through FINRA Arbitration. [read post]
3 Jan 2024, 9:01 pm
Significantly, a working capital statement will no longer be needed. [read post]
2 Jan 2024, 1:10 pm
Check out our Practical Guidance Author Center ! [read post]
2 Jan 2024, 12:56 pm
The 29 securities suits against companies in the this SIC group represented about 13.7% of all of the federal court securities class action lawsuits filed in 2023. [read post]
2 Jan 2024, 11:26 am
Working under the supervision of the Securities Exchange Commission, FINRA: Writes and enforces rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S. [read post]
28 Dec 2023, 9:05 pm
The order will remain in place while abortion rights groups proceed with their lawsuit, in which they argue that Texas abortion laws violate their right to free speech and free travel. [read post]
27 Dec 2023, 6:09 pm
July 2018 – The Financial Industry Regulatory Authority (FINRA) reportedly barred former Independent Financial Group advisor Kyusun “Kenny” Kim from working in the securities industry after he allegedly made unsuitable recommendations to numerous senior customers that they concentrate their retirement assets and liquid net worth in speculative and illiquid securities. [read post]
27 Dec 2023, 2:02 pm
With over 30 years of securities law experience, The White Law Group has the expertise to help investors to recover their securities fraud losses. [read post]
