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17 Jan 2020, 8:39 am
Further, the Financial Industry Regulatory Authority (FINRA) reportedly suspended Perrillo in November 2018 for 18 months after he allegedly exchanged business related text messages, using his personal cell phone, and business related emails, using an unauthorized personal email address, to engage in firm related business with a customer at his member firm, in alleged violation of firm rules. [read post]
17 Jan 2020, 8:19 am
The recent regulations do not implement CFIUS’s authority under FIRRMA to assess and collect fees in connection with filings. [read post]
17 Jan 2020, 8:19 am
The recent regulations do not implement CFIUS’s authority under FIRRMA to assess and collect fees in connection with filings. [read post]
17 Jan 2020, 6:15 am
The author would like to thank Bikaramjit S. [read post]
16 Jan 2020, 3:38 pm
” Such action by the United States would presumably be taken pursuant to Section 301 of the Trade Act of 1974, which is the authority that the President has invoked to impose the existing punitive tariffs against China. [read post]
15 Jan 2020, 4:05 pm
In which other industry would it be considered reasonable to take the claims of a private company about key financial aspects of its business on face value without independent verification? [read post]
15 Jan 2020, 11:33 am
The order comes from the Financial Industry Regulatory Authority (FINRA) and includes an $800K fine for not reasonably supervising these early UIT rollovers. [read post]
15 Jan 2020, 8:03 am
The report is part of the EBA’s fintech roadmap project, whereby the European Supervisory Authority (ESA) aims to identify and keep track of merging trends in the banking industry and analyse their inherent risks. [read post]
15 Jan 2020, 8:03 am
The report is part of the EBA’s fintech roadmap project, whereby the European Supervisory Authority (ESA) aims to identify and keep track of merging trends in the banking industry and analyse their inherent risks. [read post]
14 Jan 2020, 9:00 am
To date, industry groups BIO and PhRMA have opposed the measures, calling them potentially dangerous schemes. [read post]
13 Jan 2020, 6:33 pm
Final Joint Employer Rule Changes Rules Effective March 16, 2020 Prompted by the Trump Administration’s broader effort to roll back these and other Obama Era pro-labor rulemaking and enforcement, the new Final Rule seeks to restore and reaffirm the requirement of evidence of the possession of authority or exercise of some traditional employer control by the alleged joint employer. [read post]
13 Jan 2020, 2:12 pm
Court of Appeals for the District of Columbia Circuit found the SEC’s Financial Industry Regulatory Authority (FINRA) Rule 2030 constitutional. [read post]
13 Jan 2020, 11:28 am
His proposals include the following key elements: Enacting a new “California Consumer Protection Law” that would change the name of the Department of Business Oversight to the “Department of Financial Protection and Innovation” (DFPI) and give the DFPI expanded authority to administer the new law, such as by “expanding the Department’s authority to pursue unlicensed financial service providers not currently subject to… [read post]
13 Jan 2020, 11:05 am
FINRA Award: National Planning Corp. sued for fraudulent promissory notes According to reports last week, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered National Planning Corp. to pay $2.6 million to an elderly St. [read post]
13 Jan 2020, 10:51 am
Carver, who most recently was a LifeMark Securities broker and before that a Cetera Advisors financial representative — Cetera and LifeMark both fired him — was just barred by the Financial Industry Regulatory Authority (FINRA). [read post]
13 Jan 2020, 9:17 am
Ivy is the co-author of “Cataract Surgery for the Revenue Cycle” and a member of HFMA and ACHE. [read post]
13 Jan 2020, 9:17 am
Ivy is the co-author of “Cataract Surgery for the Revenue Cycle” and a member of HFMA and ACHE. [read post]
11 Jan 2020, 5:57 am
The 188 pages draft is the collaborative effort of 13 authors and reviewers under the lead of Dr. [read post]
10 Jan 2020, 12:13 pm
FINRA BARS BROKERS WHO MISTREATED ELDERLY CLIENTSThe Financial Industry Regulatory Authority (FINRA) barred two brokers who allegedly committed infractions by treating elderly clients poorly and failure to cooperate with FINRA’s investigations into their actions. [read post]
10 Jan 2020, 7:40 am
FINRA Bars Former Morgan Stanley Representative The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker, John Joseph Cahill. [read post]
