Search for: "Financial Industry Regulatory Authority"
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25 Dec 2023, 9:05 pm
The Regulatory Review is pleased to highlight the top essays from 2023 authored by our staff. [read post]
25 Dec 2023, 8:00 pm
Regulatory Compliance and Documentation Trucking companies transporting hazardous materials are subject to strict regulations imposed by federal and state authorities. [read post]
22 Dec 2023, 11:43 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
22 Dec 2023, 11:38 am
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, 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]
22 Dec 2023, 11:26 am
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, 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]
22 Dec 2023, 11:00 am
The decision confirms both the willingness and the authority of OSHA to pursue federal enforcement under the OSH Act and potentially other federal whistleblower laws and its willingness to use this authority to seek recovery when state law whistleblower laws fail to produce a remedy for OSH Act whistleblower violations. [read post]
22 Dec 2023, 9:33 am
For more information about these or other health or other legal, management or public policy developments, please contact the author Cynthia Marcotte Stamer via e-mail or via telephone at (214) 452 -8297. [read post]
22 Dec 2023, 8:13 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
22 Dec 2023, 7:39 am
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, 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]
22 Dec 2023, 6:00 am
Defending against fraud and complying with changing regulatory requirements are imminent challenges, but adopting best practices positions payment service providers to adapt to any regulatory change. [read post]
20 Dec 2023, 2:50 pm
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, 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]
20 Dec 2023, 11:58 am
On December 18, 2023, Bruce Kelly of Investment News writes about Philly broker Austin Dutton and his recent woes, which include a Wells Notice issued by the Financial Industry Regulatory Authority. [read post]
20 Dec 2023, 11:01 am
FINRA Investigates Keith Baron, Equity Services Advisor for Broker Misconduct According to public records on December 14, 2023, the Financial Industry Regulatory Authority (FINRA) recommended that disciplinary action be brought against financial advisor Keith Baron (CRD#: 3231494) alleging the following rules violations: FINRA Rule 2010 by making material misrepresentations and omissions to investors; FINRA Rules 3270 and 2010 by failing… [read post]
20 Dec 2023, 7:19 am
Ameriprise Advisor Eric Kubiak Barred after Allegations of Outside Business Activities According to public records on December 14, 2023, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor Eric Kubiak (CRD#: 4637674) after allegations of potential involvement with undisclosed Outside Business Activities, including those potentially related to crypto assets. [read post]
19 Dec 2023, 4:48 pm
On November 22, 2023, the Departments used their statutory authority (Internal Revenue Code Section 9816(c)(9), ERISA Section 716(c)(9), and PHS Act Section 2799A-1(c)(9)) to grant extensions in the following circumstances: Disputing parties may request additional time, beyond the current business day deadline, to respond to the certified IDR entity’s requests for additional information. [read post]
19 Dec 2023, 5:28 am
” A third one relates to the online-advertising industry. [read post]
18 Dec 2023, 10:00 pm
Consumer Regulatory Law Get an overview of the federal legal framework for financial institutions and entities that provide consumer financial services. [read post]
18 Dec 2023, 2:48 pm
We have also developed a checklist to help managers effectively oversee the business and regulatory landscape for the coming year. [read post]
17 Dec 2023, 9:03 pm
The investing public benefits when all industry participants compete on a level playing field. [read post]
15 Dec 2023, 9:30 pm
In Tanzania, it was highlighted that Tanzania, though displaying positive figures and a promising outlook in the technology industry, it still continued to lag behind its peers in terms of attracting tech financiers and making tech wins known on the local scene. [read post]
