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6 Aug 2019, 2:58 pm
FINRA Rule 3270 (formerly NASD Rule 3030) prohibits FINRA financial advisors from engaging in outside businesses unless they are properly disclosed to and approved by the advisor’s brokerage firm. [read post]
30 Apr 2007, 7:18 am
The financial burden of the extra interest payment may not resonate with spenders not particularly well-versed in financial literacy. [read post]
25 Oct 2010, 7:26 am
The survey also revealed that an enhanced policy of restraint in discovering tax accrual work papers used to prepare corporate financial statements, announced by the IRS concomitant with the new Schedule UTP, left corporate executives divided over their comfort level. [read post]
18 Mar 2025, 1:00 am
Cryptocurrency Regulation Overview Video is just one of the Financial Services Regulation videos providing insight on cryptocurrency matters for financial institutions. [read post]
18 Nov 2010, 6:26 am
DaimlerChrysler's financial services arm successfully sued them for $4.2 million over a financing issue, and has also accused them of loaning the business's money to Elizabeth Gorman's campaign instead of paying the judgment. [read post]
28 May 2019, 8:00 am
The morale of an employee improves dramatically as he or she discovers ways to deal with a college loan debt. [read post]
17 Dec 2024, 2:00 am
These penalties underscore the use of U.S. and international financial systems to launder illicit gains through shell companies, offshore financial centers, and service providers. [read post]
21 Sep 2015, 4:43 am
(ANZ) is a financial services company based in Australia, and is registered with the CFTC as a swap dealer. [read post]
26 Jul 2013, 5:53 am
The subscription service GuideStar (available to the Duke University community with a current NetID and password) and free websites like Charity Navigator (selected features available without free registration) use this data to assess the financial health of a nonprofit organization, and sometimes even provide a rating system for consumers. [read post]
14 Feb 2007, 8:28 pm
Nationwide Building Society (UK) has been fined £980,000 by the Financial Services Authority (FSA) over security breaches. [read post]
5 Feb 2016, 12:26 pm
Countrywide Pre-Paid Legal Services can provide financial wellness assistance. [read post]
9 Dec 2015, 1:02 pm
(“AMR”), which was a subsidiary of Emergency Medical Services Corp. [read post]
8 May 2011, 4:49 am
Community service? [read post]
23 Mar 2007, 6:29 am
The inspection service closest to Terre Haute is Crisis Cleaning in Bloomfield. [read post]
27 Nov 2011, 12:18 pm
LPL Financial LLC has been fined $100,000 for failing to supervise Jack Kleck, a broker who sold unsuitably risky investments to clients in their 80s, the Oregon Department of Consumer and Business Services announced on Nov. 22. [read post]
15 Mar 2021, 7:13 am
He subsequently moved to Allstate Financial Services, where he remains employed. [read post]
6 Feb 2019, 1:34 pm
White was discharged from the Raymond James Financial Services on 4/3/2017 after it was discovered he had accepted cash gifts from a customer, and failed to disclose the gift to the firm. [read post]
22 Feb 2022, 5:55 am
Contact the Authorities and Emergency Services Contact the authorities and emergency service providers as soon as you can. [read post]
20 Jun 2013, 7:07 am
Countrywide Pre-Paid Legal Services provides group legal plans that address identity theft in a special way. [read post]
15 Sep 2010, 12:19 pm
The 2010 Midyear Law Firm Financial Trends Report by Citi Private Bank, which provides financial services to U.S. and UK law firms, is out and the bottom line appears to be that expenses have been cut about as much as they can, so law firms now need to turn their focus to increasing top-line revenue. [read post]