Search for: "Working Group on Securities Disclosure Authority"
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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]
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]
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]
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]
11 Apr 2016, 8:19 am
Such a working group could advise European data protection authorities on the approp [read post]
5 Sep 2019, 12:26 pm
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
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]
23 Apr 2018, 8:15 am
Morim has six disclosure events listed on his broker check report. [read post]
10 Apr 2018, 3:00 am
That’s how this works. . . [read post]
10 Apr 2018, 3:00 am
That’s how this works. . . [read post]
12 Sep 2012, 5:00 am
See Essay: Corporate Governance, the Securities and Exchange Commission, and the Limits of Disclosure. [read post]
26 May 2015, 9:51 am
Authorizing zero-day disclosures may enable identity theft, financial fraud, and other serious threats. [read post]
15 Nov 2018, 10:05 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. [read post]
15 Nov 2018, 10:05 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. [read post]
14 Jan 2014, 2:18 pm
Experts working for plaintiffs use their analytical capabilities to uncover the facts behind transactions and their reports highlight relevant information and the effect alternative behavior or disclosure would have had on stock price. [read post]
21 Apr 2022, 9:01 pm
On March 21, 2022, the Securities and Exchange Commission proposed, in a 510-page release, climate-related disclosure rules for public companies. [read post]
15 Oct 2019, 9:13 am
When brokers violate securities laws, such as making unauthorized transactions, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
2 Dec 2020, 6:03 am
With regards to the telemetry functions, a DSK working group had previously determined in three test scenarios that data controllers use the “security” telemetry level when using the Enterprise version, and as a result, should take contractual, technical or organizational measures to ensure that no personal data is transmitted to Microsoft. [read post]
1 May 2023, 9:01 pm
Over the past several years, the use of non-disclosure agreements (“NDAs”) has received significant public scrutiny following their controversial use in a number of high profile harassment claims.[1] NDAs were back in the headlines earlier this year following the leak to the Telegraph of around 100,000 Whatsapp messages belonging to the former UK Health Secretary Matt Hancock.[2] The messages, which revealed Mr Hancock’s communications with other members of the government… [read post]
