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21 Apr 2020, 12:46 pm
In November 2019, the financial services regulators responsible for the Volcker Rule regulations (the Board of Governors of the Federal Reserve Board, the Office of the Comptroller of the Currency, the Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation and the Securities and Exchange Commission, collectively, the “Agencies”) issued final rules revising the proprietary trading restrictions placed on certain banking entities (the “2019… [read post]
7 Oct 2019, 6:14 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
27 Aug 2010, 2:57 pm
Portfolio also includes, taxes, financial services, and small business. [read post]
5 Nov 2019, 5:57 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
6 Dec 2019, 7:27 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
6 Jan 2020, 7:15 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
13 Sep 2024, 3:20 am
Lin Grensing-Pophal is a Contributing Editor at HR Daily Advisor. [read post]
28 Nov 2009, 9:52 pm
He was also Treasury Secretary Robert Rubin’s Special Assistant, Deputy Assistant Secretary of the Treasury, Special Advisor to President Clinton, Special Advisor at the State Department, Law Clerk to Justice Souter… this is one special guy, yes he is. [read post]
28 Feb 2023, 6:46 am
J.P Turner & Company, LLC Mark Miranda Spartan Capital Securities, LLVC Network 1 Financial Securities Inc Patrick Thayer LPL Financial LLC Parkland Securities, LLC Brian Wurdemann RBC Capital Markets, LLC UBS Financial Services Inc. [read post]
12 May 2023, 2:03 am
In industries such as financial services or healthcare, annual or periodic rescreening may be a legal requirement for individuals to keep their jobs – and for employers to stay compliant. [read post]
12 Jan 2021, 2:00 am
The post Recruiters: This Year’s Projections appeared first on HR Daily Advisor. [read post]
20 Apr 2022, 12:42 pm
Although most brokerage firms have systems in place to detect voluminous trading, excessive fees or high commissions, some firms continue to encourage their financial advisors to trade frequently to generate more fees. [read post]
16 Jul 2021, 2:05 am
The post Focus on Finance When it Comes to Gen Z Benefits Packages appeared first on HR Daily Advisor. [read post]
10 Jun 2016, 3:13 am
See this report about the revolving door between the staff of the House Financial Services committee and the financial industry… – Broc Romanek [read post]
23 Mar 2022, 6:36 am
If it can be determined that the financial advisor’s employers failed to adequately supervise him, these firms can be held responsible for any resulting losses in a FINRA arbitration claim. [read post]
28 Apr 2023, 2:00 am
Layoffs are an unfortunate and inevitable part of the financial downturn. [read post]
18 Dec 2011, 4:47 pm
Finally, a private fund adviser must provide audited financial statements to each investor. [read post]
15 Aug 2018, 2:00 am
(IRS) In-service distributions 10. [read post]
15 Aug 2018, 2:00 am
(IRS) In-service distributions 10. [read post]
15 Oct 2021, 10:33 am
Financial Services: Capital Markets Services, Emerging Companies Market (ECM) Listing and Compliance Services, Investment Companies and Funds Formation, Licensing and Passporting, Nominal Advisor Services (Nomad). [read post]
