Search for: "Working Group on Securities Disclosure Authority"
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31 Jan 2024, 11:31 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]
30 Jan 2024, 9:50 am
I would like to thank the authors for allowing me to publish their article as a guest post on this site. [read post]
29 Jan 2024, 12:00 pm
The White Law Group reviews the regulatory history of Morgan Stanley. [read post]
27 Jan 2024, 9:04 pm
Working in that space, I noticed a need to clear and settle financial transactions faster and with greater efficiency. [read post]
26 Jan 2024, 1:40 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
25 Jan 2024, 6:06 pm
Private REITs are not subject to the same disclosure requirements as public non-traded RE [read post]
25 Jan 2024, 4:00 pm
Content Assessment: Vendor Voices in eDiscovery: From Mobile Collections and MEDAL to Announcements and Acquisitions Information - 92% Insight - 90% Relevance - 94% Objectivity - 88% Authority - 92% 91% Excellent A short percentage-based assessment of the… [read post]
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]
