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4 Oct 2021, 1:56 pm
Iorio Altamirano LLP, a leading securities arbitration law firm, has filed a case through the Financial Industry Regulatory Authority (FINRA) against American Capital Partners. [read post]
4 Oct 2021, 12:56 pm
-Italian defense-industry relationship. [read post]
4 Oct 2021, 8:12 am
This blog was co-authored by Uzair Bulbulia, candidate attorney On 1 October 2021, the Ministry of Trade, Industry and Competition published the Companies Amendment Bill, 2021 (2021 Bill) for public comment. [read post]
4 Oct 2021, 2:00 am
FINRA Arbitration Panels Award Damages To UBS YES Claimants Two Financial Industry Regulatory Authority (FINRA) panels have ordered UBS Wealth Management (UBS) to pay investors over $1.1 million for losses they sustained from the firm’s Yield Enhancement Strategy (YES). [read post]
3 Oct 2021, 9:03 pm
Second, regulatory failures can often harm marginalized groups the most, which the financial crash showed yet again. [read post]
3 Oct 2021, 10:11 am
These hurdles were imposed by Congress precisely because Congress was concerned about regulatory overreach in the 1970s. [read post]
1 Oct 2021, 9:19 am
The HITECH Act authorizes the FTC to seek civil penalties for violations. [read post]
1 Oct 2021, 5:30 am
He also vocally advocated for creatively using FTC authority to fill a perceived gap caused by the Supreme Court’s decision in AMG Capital Management that the FTC lacked authority under Section 13(b) to obtain equitable monetary relief. [read post]
30 Sep 2021, 9:03 pm
FLASHBACK FRIDAY In an essay in The Regulatory Review, Michael Nonaka, partner at Covington & Burling LLP, argued that FinCEN is positioned to be “one of the most influential federal government agencies” for regulating innovation in the financial services industry due to its broad mandate over financial institutions. [read post]
30 Sep 2021, 4:50 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
30 Sep 2021, 5:01 am
Evergrande’s troubles have coincided with Xi’s application of regulatory pressure across various industries in the name of “common prosperity,” such as by limiting minors’ online gaming. [read post]
29 Sep 2021, 10:40 am
FINRA updates Private Placement Rules in 2021 The Financial Industry Regulatory Authority Inc (FINRA), the broker dealer self-regulator, is changing its rules regarding private placements starting October 1, 2021. [read post]
28 Sep 2021, 7:32 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
Group Health Plan Section 111 Medicare Secondary Payer (MSP) Records To Accept Future Effective Date
27 Sep 2021, 1:01 pm
More Information This article is republished by permission of the author, Cynthia Marcotte Stamer. [read post]
27 Sep 2021, 12:59 pm
DIDI connects technologists, civil society, and the transatlantic policy community to catalyze inclusive innovation that strengthens democracy, with a focus on: (1) digital platforms, (2) supply chains and critical technologies, (3) Artificial Intelligence, frontier technologies and industrial policies. [read post]
27 Sep 2021, 11:43 am
Edward Turley, JP Morgan Advisor, Fired after Customer Lawsuits According to the Financial Industry Regulatory Authority (FINRA), JP Morgan Securities has reportedly dismissed broker Edward Turley (CRD#: 1872294) of San Francisco, California after five pending customer complaints were reportedly filed against him between May 2020 and July 2021. [read post]
27 Sep 2021, 4:30 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; FINRA Ombuds Publishes 2017 Report; FINRA Posts Interview with Ombuds; Job Posting. [read post]
27 Sep 2021, 4:27 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
24 Sep 2021, 10:43 am
The Financial Industry Regulatory Authority (FINRA) addresses suitability in its Rule 2111. [read post]
24 Sep 2021, 5:00 am
What is the U.S. regulatory landscape? [read post]
