Search for: "Working Group on Securities Disclosure Authority"
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26 May 2015, 9:51 am
Authorizing zero-day disclosures may enable identity theft, financial fraud, and other serious threats. [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]
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]
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]
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]
2 Jan 2024, 1:10 pm
Check out our Practical Guidance Author Center ! [read post]
2 Apr 2020, 4:14 pm
Meanwhile, the CFTC and the National Futures Association worked in tandem to address a plethora of supervisory requirements in connection with branch offices and working from remote locations. [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]
22 Apr 2019, 1:12 pm
Kennedy to secure a consolation seat on the Supreme Court—and whose abrupt retirement in June 2018 quickly opened the door for Trump to nominate D.C. [read post]
2 Feb 2021, 2:38 pm
The White Law Group is investigating potential securities claims involving Triad Advisors, LLC. [read post]
10 Aug 2022, 6:14 am
Update on the Investigation: Dustin Shafer & Shafer Financial Group, Springfield IL According to an SEC administrative order, on August 9, 2022 the Securities and Exchange Commission reportedly barred financial advisor Dustin Paul Shafer (CRD # 4198962) from working in the securities industry after charges by the State of Illinois alleged broker misconduct including allegations that he borrowed money from an elderly client. [read post]
11 Apr 2016, 4:22 am
Such a working group could advise European data protection authorities on the appropriate controls that should exist within a country, and help advise on technical aspec [read post]
16 Aug 2017, 11:45 am
Koehler, the securities attorneys of The White Law Group may be able to help you. [read post]
4 Nov 2016, 8:54 am
Key words: Barred brokers working, securities fraud attorney, FINRA, Investment fraud, stock broker fraud, barred brokers investment advisors [read post]
13 Nov 2017, 1:24 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
