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28 Nov 2011, 8:57 pm
SIPC on the other hand restores funds to customers with assets in securities brokerage firms.[6] The National Futures Association (NFA) and the CFTC require FCMs to report the amount they carry in customer segregated funds to the clearing house of the FCM's designated self-regulatory organization (DSRO)-in MF Global's case, the CME. [read post]
24 Nov 2011, 8:53 am
The worst was the rise of a national security state to almost uni [read post]
21 Nov 2011, 4:51 pm
Instead they're insisting on making it clear to the American people that they did no such thing. [read post]
18 Nov 2011, 12:02 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
15 Nov 2011, 4:27 pm
To ensure retirement security for all Americans. [read post]
14 Nov 2011, 8:55 am
According to the SEC, the 2008 incident is the third instance in the past eight years where an employee of FINRA, or its predecessor, the National Association of Security Dealers, has provided altered or misleading documents to the SEC. [read post]
14 Nov 2011, 7:50 am
While a Canadian court may give deference to the rules set by the seller, how closely a seller needs to follow those rules is not yet clear. [read post]
13 Nov 2011, 7:41 pm
The funds are not related to the $500,000 indemnification funds that the Securities Investor Protection Corporation, which administers the SIPA, and provides to investors who lose money from equities resulting from problems with investment companies. [read post]
12 Nov 2011, 12:56 pm
Need audit trails in the health privacy context, as we do with SEC and national security. [read post]
3 Nov 2011, 12:43 pm
CTJ's most recent study makes clear that US multinationals have no trouble competing due to taxes. [read post]
3 Nov 2011, 11:53 am
© Max Kennerly. [read post]
3 Nov 2011, 8:08 am
It is clear enough that securities issued under this "new" Reg A may be treated as "covered securities," exempt from state registration or qualification requirements. [read post]
31 Oct 2011, 9:26 am
The PCAOB will also continue to consult with the SEC, FINRA, and the Securities Investor Protection Corporation in order to consider the role of auditor regulation against the backdrop of direct regulation over brokers and dealers. [read post]
31 Oct 2011, 4:14 am
In point of fact, I don’t think there can be any doubt that lenders and mortgage servicers in this country are working solely in their own best interests, and it should be just as clear that those interests are not aligned with the interests of anyone else; not the investors they’re supposed to protect, not the borrowers whose lives have been torn apart but will someday recover, and certainly not our nation as a whole. [read post]
31 Oct 2011, 2:00 am
Many corporations may not realize how easy it is to hijack their corporate identities. [read post]
28 Oct 2011, 7:06 am
To pay us back, GM filed for bankruptcy in what appears to be a clear effort to avoid its obligations. [read post]
27 Oct 2011, 11:34 am
The SEC official stressed that national authorities must engage with each other in the area of derivatives regulation. [read post]
27 Oct 2011, 7:39 am
When an industry is so out of control that it begins to undermine national security, it's time for a coordinated response. [read post]
27 Oct 2011, 7:37 am
When an industry is so out of control that it begins to undermine national security, it’s time for a coordinated response. [read post]
26 Oct 2011, 10:54 am
Homeland Security personnel then detained that individual, and he became marooned in Canada for an indefinite period. [read post]
