Search for: "Trustees of the Industry Fund"
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21 Mar 2018, 7:53 am
Franco, who was acting in his role and trustee of his law firm’s pension plan, at the end of the hearing, requested damages of $5,161,273 for “trading losses” or $3,429,438 for “net out-of-pocket losses. [read post]
26 Jun 2022, 6:26 am
The SEC believes that the Names Rule, which has not been amended since its adoption over 20 years ago, has not kept pace with industry developments and product evolution. [read post]
26 Jun 2022, 6:26 am
The SEC believes that the Names Rule, which has not been amended since its adoption over 20 years ago, has not kept pace with industry developments and product evolution. [read post]
14 Dec 2007, 12:07 pm
An alternative periodic payment mechanism, using obligations of the United States Government as a "qualified funding asset", and institutional trustees, is available via The Halpern Group. [read post]
22 Aug 2010, 12:53 pm
Consequently, Missouri sellers would be best advised to begin working with their funding entities as soon as possible. [read post]
15 Feb 2017, 1:10 pm
The industry consists of both a primary and secondary market and includes "off-shore" funding products. [read post]
29 Aug 2021, 11:50 am
Like so many funeral home preneed trusts, fees will eat up small investment funds. [read post]
29 Aug 2021, 11:50 am
Like so many funeral home preneed trusts, fees will eat up small investment funds. [read post]
7 Oct 2018, 5:51 pm
In each case, APRA conducted a review of a cross-section of the industry in respect of fund type, size and ownership structure and identified areas for improvement, which it expects regulated entities to consider when implementing the prudential standards. [read post]
30 Oct 2017, 9:11 am
The case involves limits on the so-called “avoidance” powers of the bankruptcy trustee designed to protect intermediaries in the securities industry. [read post]
22 Jan 2021, 12:24 pm
She has been in the industry since 1990. [read post]
18 Jun 2019, 4:36 am
FINRA Broker Disciplinary Action Report: June 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
9 Dec 2010, 10:13 am
” He emphasized that the mutual fund’s board of trustees had reviewed and adopted the challenged language. [read post]
10 May 2020, 10:49 pm
ASIC has also issued a temporary ‘no-action’ position to superannuation trustees in order to expand the scope of personal advice that is provided by, or on behalf of, the superannuation trustee as ‘intra-fund advice’. [read post]
23 Apr 2015, 6:19 am
The arbitrator dismissed the pension fund’s claim for the imposition of withdrawal liability, concluding that the Penske companies were not liable for withdrawal payments because the pension fund was exempt as “a trucking industry fund as that term is described in 29 U.S.C. [read post]
11 Sep 2012, 6:23 pm
To settle Financial Industry Regulatory Authority allegations that it committed numerous violations involving dealings between investment banking and research functions, Rodman & Renshaw LLC has agreed to pay a $315,000 fine. [read post]
20 Dec 2011, 2:41 pm
Wentworth and Peachtree Settlement Funding. [read post]
11 Sep 2014, 5:49 am
FINRA found that the trustee identified Church Bond issuers who were delinquent with their sinking fund payments. [read post]
13 Jul 2023, 6:31 am
The legislation mirrors anti-“industry boycott” legislation introduced or passed in other US states and provides more explicit rubrics of prohibited factors. [read post]
13 Jul 2023, 6:31 am
The legislation mirrors anti-“industry boycott” legislation introduced or passed in other US states and provides more explicit rubrics of prohibited factors. [read post]
