Search for: "Financial Industry Regulatory Authority"
Results 3481 - 3500
of 11,225
Sort by Relevance
|
Sort by Date
20 Mar 2020, 9:48 pm
None of the named plaintiffs were infected by the COVID-19 but they suffered financial loss due to the outbreak. [read post]
20 Mar 2020, 10:35 am
Kozak According to public records on the Financial Industry Regulatory Authority’s website, on March 18, 2020, the regulator reportedly suspended Kozak from associating with any FINRA member firm for two years and fined him $10,000. [read post]
20 Mar 2020, 8:10 am
Daughtry According to public records on the Financial Industry Regulatory Authority’s website, the regulator reportedly barred Daughtry on March 18, 2020 from associating with any FINRA member firm in all capacities after he allegedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into “potentially fraudulent and unauthorized transactions in customers’ accounts. [read post]
20 Mar 2020, 5:41 am
These states perform state regulatory and oversight functions with respect to the federal requirements, including MHPAEA. [read post]
19 Mar 2020, 7:04 pm
In addition, it is apparent that the Coronavirus will result in material changes in the legal and regulatory landscape in the U.S. and internationally. [read post]
19 Mar 2020, 3:24 pm
Based on prior FCA enforcement actions, we highlight a few here: Submitting False Billing to Medicare and Medicaid When Treating Patients The healthcare industry is one of the most intensely regulated industries in the country, facing statutory and regulatory restrictions from federal, state and local governments. [read post]
19 Mar 2020, 11:48 am
In what may be entirely unprecedented, the New York Department of Financial Services (NYDFS), the insurance regulatory body for insurers operating in New York, has ordered that all property and casualty insurers authorized to issue policies in New York to provide details on the business interruption coverage provided in the types of policies for which it has ongoing exposure for COVID-19 related losses. [read post]
19 Mar 2020, 10:35 am
Moore (the “Moore Declaration”) (Doc. 4), the vice president of four of the Debtors, and the president, chief executive officer, and chief financial officer of Murray Energy Holdings Co. [read post]
18 Mar 2020, 3:46 pm
The city offered free gas for five years to any industry that would move to Amarillo. [read post]
The Coronavirus in the International Workplace – How do Multinational Employers React Appropriately?
18 Mar 2020, 12:55 pm
This updated overview provides multinational employers practical advice to develop their coronavirus response strategy on an international level and to ensure a safe working environment for their employees under local employment and labor laws of UK, France, Germany, Italy, and Japan. [read post]
18 Mar 2020, 7:32 am
Based on Cline’s official record with the Financial Industry Regulatory Authority (“FINRA”), the entity that regulates all brokerage firms and advisors, he is an employee of National Securities Corporation. [read post]
18 Mar 2020, 5:00 am
They range across financial regulatory agencies, the Department of Health and Human Services, the Federal Trade Commission and other sector-specific regulatory agencies. [read post]
17 Mar 2020, 1:27 pm
auHash=zrsDVFen7QmUL6Xou7EIHYov4Y6IfrRTjW3KPSVukQs Financial Industry Regulatory Authority (“FINRA”) FINRA has taken a number of steps to provide guidance and relief to the industry. [read post]
17 Mar 2020, 12:30 pm
States should also consider requiring insurers to report aggregate claims data to state regulatory authorities on the correlations between different cybersecurity products, frameworks, and guidelines and claims data. [read post]
16 Mar 2020, 1:54 pm
Here is the authors’ article. [read post]
16 Mar 2020, 12:43 pm
The financial effects of the COVID-19 pandemic and containment efforts has many businesses flailing to reconfigure their staffing and other business models even as Congress is preparing to impose paid COVID related leave mandate on employers with less than 500 employees. [read post]
16 Mar 2020, 11:06 am
Consider, for example, the $575 million settlement obtained from Equifax by the FTC in partnership with the Consumer Financial Protection Bureau and most of the country’s state attorneys general. [read post]
16 Mar 2020, 8:49 am
BANNED BROKER QUESTIONS FINRA'S RIGHT TO BAR HIMInvestment law specialists on Thursday raised concerns that the Financial Industry Regulatory Authority will lose its capacity to exclude bad brokers because of a progressing case pitting the Securities and Exchange Commission against a broker that FINRA banned in 2008.If the U.S. [read post]
16 Mar 2020, 8:45 am
For that reason, brokers are required to assess the suitability of such investment products on a customer by customer basis rather than suggesting them to all investors.The Financial Industry Regulatory Authority (FINRA) has cracked down on some firms about the risks associated with investing on non-tradition ETFs and has put out information on the its website. [read post]
16 Mar 2020, 8:04 am
AI is transforming virtually every industry, organization, and government, along with the lives of individuals, as one might expect of this fourth industrial revolution. [read post]
