Search for: "PROVIDENCE MUTUAL"
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18 Apr 2017, 6:11 am
This study seeks to provide systematic evidence on the time-series trends in mutual funds’ investments in private firms. [read post]
12 Feb 2009, 1:40 pm
Wachovia Securities was fined $4.41 million for its failure to provide investors... [read post]
3 Jan 2019, 12:00 pm
Provided below is an abstract of the Article. [read post]
3 Nov 2020, 2:00 pm
And Cesar, today we’re going to talk about Northwestern Mutual long-term disability claims and providing some tips and guidance as to how to get a claim approved for long-term disability. [read post]
11 Jul 2011, 1:03 pm
Subsection 6 has been added to section 12.1 which provides that a MFDA member firm that is also registered as an exempt market dealer, scholarship plan dealer or investment fund manager is not required to comply with certain of the requirements of section 12.1 provided the firm has a minimum capital as calculated in accordance with MFDA Form 1 MFDA Financial Questionnaire and Report (Form F1) and it meets certain other conditions set out in section 12.1(6). [read post]
15 Jul 2015, 11:07 am
According to the FINRA Letters of Acceptance, Waiver and Consent, Wells Fargo, Raymond James and LPL failed to properly train or provide necessary information to their financial advisors regarding waiver of these fees and charges. [read post]
25 Aug 2022, 3:45 am
Most trusts cannot be established in the Netherlands (with the exception of Mutual Funds). [read post]
16 Mar 2007, 10:23 am
The court held that the statutes either didn't provide a private cause of action, didn't confer standing on shareholders individually, or didn't prohibit the underlying conduct. [read post]
12 Aug 2011, 1:36 pm
Stage 1 (completed on January 1, 2011 and discussed in our post October 28, 2010) required mutual funds subject to NI 81-101 to produce and file the Fund Facts and make it available on the mutual fund’s or mutual fund manager’s website. [read post]
14 Dec 2010, 1:55 pm
Supreme Court that applies the mutual Wills doctrine and discusses what Will be needed in order to find a mutual Wills agreement. [read post]
4 Jan 2021, 12:15 pm
But I want to provide some helpful information for people of actions and steps that they can take to keep themselves from being denied. [read post]
24 Jan 2019, 4:29 pm
The decision is one of mutual adequacy and creates the world’s largest area of safe data flows. [read post]
3 Sep 2007, 4:52 am
Mutual Funds Begin Providing Risk-Return Information Using Interactive Data, SEC.gov, August 21, 2007 EDGAR Database [read post]
28 Sep 2020, 11:19 am
So what they usually provide in their policies is an initial period of own occupation. [read post]
9 Jul 2014, 6:59 am
With the substantial volume of claims currently backlogged at OMHA, causing two to three year delays before the appealed claims are finally adjudicated, appellants may soon be provided a forum to reach mutually agreeable resolutions with CMS and receive the timely payment in which the provider is entitled. [read post]
31 Jan 2015, 8:30 am
As was later detailed in the case of Alabama Mutual Insurance Corp. v. [read post]
26 Sep 2013, 9:06 pm
In a letter to SEC Investment Management Director Norm Champ, the Mutual Fund Directors Forum asked the Commission to issue principles-based guidance on fund valuation of securities recognizing the authority of fund directors to delegate valuation. [read post]
7 May 2012, 2:39 am
The banks are presently providing yearly deposit rates in the low 5% range. [read post]
31 Dec 2008, 8:54 am
The paper provides a comparison of US tax and securities law governing mutual funds with laws governing other collective investments, in both the US and in the EU. [read post]
18 Aug 2014, 3:09 pm
To the extent that Holling Press, Inc., 343 NLRB 301 (2004) is to the contrary on the “mutual aid and protection” issue, the Board overruled it. [read post]
