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Posting Requirements Securities and Exchange Commission (SEC)

Dechert LLP

SEC Division of Examinations Publishes Risk Alert Providing Observations from Broker-Dealer Examinations Related to Regulation...

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The Securities and Exchange Commission’s Division of Examinations (Division) issued a Risk Alert (Risk Alert) on January 30, 2023 highlighting deficiencies its Staff observed during recent Regulation Best Interest...more

Snell & Wilmer

Schedule 13D and 13G Website Posting

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Over the years, company websites have become an increasingly important source of information for investors. In the investor relations section of their websites, companies often include, or link to, information regarding...more

Carlton Fields

CFPB Proposes Rule Allowing Online Posting Of GLB Privacy Notices

Carlton Fields on

On May 6, the Consumer Financial Protection Bureau ("the CFPB" or "the Bureau") announced a proposed rule that would permit financial institutions to post annual privacy notices required by the Gramm-Leach-Bliley Act ("GLBA")...more

Fenwick & West LLP

Fenwick Employment Brief - April 2014

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Supreme Court Confirms FICA Taxes Must be Withheld from Severance Payments - Finding severance payments to be a form of “remuneration for employment,” the United States Supreme Court in United States v. Quality Stores,...more

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