Search for: "Working Group on Securities Disclosure Authority"
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12 Oct 2017, 2:01 pm
But interest in using trade agreements to address issues such as data localization, disclosure of software [read post]
4 Jan 2011, 2:55 pm
The Japanese Financial Services Authority is set to aggressively implement an action plan for financial [read post]
25 Jan 2013, 2:02 am
Entitled Information Security Technology -- Guidelines for Personal Information Protection Within [read post]
9 Aug 2013, 11:44 am
Paul Heald: common-law cases finding nonpossessory security interests in personal property are fraudulent [read post]
3 Nov 2023, 10:39 am
Disclosures are there to ensure that everyone is playing by the securities rules and to deal with any [read post]
22 Jan 2015, 1:22 pm
State attorneys generals are subject to fewer restrictions and disclosure requirements than elected officials [read post]
6 Sep 2012, 10:10 am
the report examines existing and planned legislation to cover the requirement for mandatory incident disclosure [read post]
9 Jul 2019, 9:48 am
A Financial Industry Regulatory Authority (FINRA) panel is ordering Legend Securities, CEO Anthony Fusco [read post]
14 Aug 2022, 12:01 pm
Her project work and research revolve primarily around issues of administrative law, governance and regulatory [read post]
17 Jun 2011, 3:43 am
In a 5-4 decision in Janus Capital Group v. [read post]
26 Aug 2022, 6:30 am
The goal of this initiative was described as enabling increased disclosure of important information to [read post]
10 Aug 2022, 6:14 am
barred financial advisor Dustin Paul Shafer (CRD # 4198962) from working in the securities industry after [read post]
20 Nov 2025, 1:46 pm
The Financial Industry Regulatory Authority (FINRA) has reportedly barred former broker Harry Harper [read post]
26 May 2010, 9:51 am
At a very high level, it provides mandatory breach notification for security breaches related to personal [read post]
20 Feb 2020, 6:31 am
In a prior post (here) we passed along a call for written inputs circulated by the Working Group for [read post]
12 Apr 2019, 6:29 am
The first disclosure on Bice’s BrokerCheck report is from 2002 and involves his termination from [read post]
13 Sep 2018, 10:17 am
They argue that overclassification of national security–related documents undermines democratic [read post]
3 Jan 2018, 6:10 am
During his time as a student, Jackson worked at the Program on Corporate Governance and co-authored [read post]
26 Mar 2011, 3:10 pm
Traditionally, securities regulators have focused on transparency and disclosure. [read post]
25 Jan 2023, 6:13 am
Vara said S&C’s disclosures were “wholly insufficient” to evaluate whether the [read post]
