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11 May 2017, 2:55 am
Frank Scarso, a registered representative from Staten Island, NY, formerly with First Standard Financial, PHX Financial, Alexander Capital, Clark Dodge & Company and others was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. [read post]
1 Sep 2007, 2:42 am
More convenient business creation, Chengdu's first zero-down-payment company successfully registered On August 15, commercial bureau of Qingyang district ratified and issued the business license to the first company registered with zero down payments. [read post]
14 Oct 2021, 6:59 am
Employers should prepare for emergency temporary standard mandates After OIRA approves the ETS, OSHA will publish it in the Federal Register. [read post]
26 Dec 2009, 1:58 pm
According to the new rule, newly registered truck and bus companies will have to comply strictly with the agency's 16 regulations. [read post]
12 Oct 2007, 12:51 am
Article 3 (Legal Status) (1) A real estate investment company shall be a stock company [read post]
23 Oct 2018, 8:35 pm
Directors of companies, registered in Korea, many be held criminally and civilly liable for acts as a director (in limited cases even controlling shareholder can be held criminally liable). [read post]
1 Jun 2010, 8:43 am
The WebEx link and dial in will be e-mailed to you once you register. [read post]
14 Nov 2021, 3:37 pm
Register today for the live virtual program. [read post]
4 Dec 2013, 8:04 am
Despite a growing international trend in cyber crime targeted at businesses, the survey showed that only 14 percent of FTSE 350 companies regularly consider cyber threats, and nearly half of those surveyed do not even include cyber risks on their company’s strategic risk register. [read post]
18 May 2022, 3:13 pm
Since California allows community property held by a debtor’s spouse to be used to satisfy a judgment against the debtor, the creditor served Zions’ registered agent, Corporation Service Company (CSC), a notice of levy on “all accounts standing in the name of” Northamerican, Michaels, and/or his spouse. [read post]
29 Mar 2023, 3:30 am
Comments on the Proposed Listing Standards are due 21 days from publication in the Federal Register. [read post]
17 Aug 2023, 7:11 am
As an initial matter, an audit report on the financial statements of a public company or registered broker-dealer includes a pass/fail opinion on whether the company’s financial statements fairly present its financial position, results of operations and cash flows, the OIE stated.In addition, the report must be titled “Report of Independent Registered Public Accounting Firm” and must clearly state whether the audit was conducted in accordance… [read post]
9 May 2012, 4:27 pm
The examiner was also provided through MES Solutions, a biased third party company that has regularly had contact with Reliance Standard, indicating a conflict of interest. [read post]
17 Aug 2010, 11:50 am
The standard for liability for the non-experts (i.e., the directors and underwriters) is lower for so-called "expertized" portions of a registration statement, where the experts themselves have the higher standard for liability. [read post]
16 Dec 2022, 6:32 am
Today, the Public Company Accounting Oversight Board (PCAOB) announced that it was able, in 2022, to inspect and investigate completely issuer audit engagements of PCAOB-registered public accounting firms headquartered in China and Hong Kong. [read post]
16 Dec 2022, 6:32 am
Today, the Public Company Accounting Oversight Board (PCAOB) announced that it was able, in 2022, to inspect and investigate completely issuer audit engagements of PCAOB-registered public accounting firms headquartered in China and Hong Kong. [read post]
18 Dec 2018, 11:03 am
The post FINRA Suspends Registered Individuals in November 2018 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
6 Aug 2019, 8:52 am
The post Registered Individuals Suspended by FINRA in July 2019 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
17 Feb 2021, 6:22 am
The post Robinhood’s Practices Violate Best Interest Standard, Per State Regulator appeared first on RIA Compliance Blog. [read post]
27 Jun 2012, 9:08 am
”, which will review the CFTC and SEC’s long-awaited joint rulemaking on entity definitions and discuss how to determine whether or not and when companies will need to register as a SD or an MSP. [read post]
