Search for: "Working Group on Securities Disclosure Authority"
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14 Sep 2023, 4:24 am
Richard Blumenthal (D-Conn), the subcommittee’s work is “complementary” to other work streams currently in progress, including that of a bipartisan working group led by Senate Majority Leader Chuck Schumer (D-NY).Given that the Schumer group and the Subcommittee on Privacy, Technology, and the Law have both offered bipartisan AI regulatory frameworks, it makes sense to begin with a comparison of those frameworks. [read post]
11 Sep 2023, 9:01 pm
Likely in response to the extensive body of comment letters, many from prominent industry groups, challenging the SEC’s authority for the Proposed Rules, the SEC explained, at length, why the Final Rulesare “a proper exercise of [the SEC’s] rulemaking authority under [Sections 206(4) and 211(h) of] the Advisers Act to prevent fraudulent, deceptive, and manipulative conduct, facilitate the provision of simple and clear disclosures to investors,… [read post]
8 Sep 2023, 12:51 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
7 Sep 2023, 9:44 am
Below please find more specific observations as to current law and citations to work we have published on the topics discussed. 1. [read post]
7 Sep 2023, 2:20 am
John is also a participant in Working Group 6 of the Sedona Conference International Electronic Information Management, Discovery and Disclosure, which focuses on international issues relating to disclosure, cross-border discovery, and privacy. [read post]
4 Sep 2023, 5:44 am
The reasons for the firm’s actions included rising deposit costs (as banks are required to pay higher interest rates to attract deposits); and risks to commercial property and construction loans posed by changes to the commercial real estate market brought about by shifts to remote work during the pandemic. [read post]
3 Sep 2023, 4:43 pm
Malik Al Nasir claims he has been pressed to remove a reference in his work to Antoinette Sandbach. [read post]
1 Sep 2023, 4:00 am
A jury found Ridley-Thomas guilty of bribery for soliciting favors for his son from the dean of the University of Southern California’s School of Social Work, in exchange for helping secure county contracts for the school. [read post]
31 Aug 2023, 8:58 am
Even beyond the capacity for state monitoring, the First Amendment injury is exacerbated by the risk of inadvertent disclosures, leaks, or hacks. [read post]
30 Aug 2023, 9:05 pm
They also allow activists and institutional investors to privately communicate and cooperate so long as they do not form a “group” as defined by the SEC rules. [read post]
29 Aug 2023, 12:32 pm
The White Law Group reviews the regulatory history of Hilltop Securities. [read post]
27 Aug 2023, 7:49 pm
The White Law Group reviews the regulatory history of Western International Securities. [read post]
25 Aug 2023, 12:30 pm
The Tenth Circuit just held that a Colorado group that spends money advocating on issues appearing on the ballot has standing to bring a pre-enforcement First Amendment challenge to the state's disclosure and registration requirements for ballot-issue committees. [read post]
25 Aug 2023, 11:47 am
In February 2020 FINRA reportedly barred him from working in the securities industry. [read post]
22 Aug 2023, 8:46 am
The White Law Group reviews the regulatory history of NYLife Securities. [read post]
21 Aug 2023, 6:36 am
Within 30 working days, the JIT is expected to complete its investigations and submit the report to a special court via a public prosecutor. [read post]
20 Aug 2023, 4:04 pm
On 27 June 2023, the Australian government released its second consultation paper titled ‘Climate-related financial disclosure’, furthering its intention to strongly align Australia’s forthcoming climate-related disclosure framework with the IFRS S2. [read post]
17 Aug 2023, 1:02 pm
Attorneys in Foley Hoag’s Energy and Climate practice group has guided our clients through such transactions and will be working with our public markets attorneys as the regulatory picture becomes clearer. [read post]
16 Aug 2023, 9:04 am
The White Law Group reviews the regulatory history of Securities America Inc. [read post]
15 Aug 2023, 9:01 am
LinkedIn Health Care Risk Management & Operations Group, HR & Benefits Update Compliance Group, and/or Coalition for Responsible Health Care Policy Group. [read post]
