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15 Jun 2009, 6:50 am
He is a member of the House Financial Services Committee, which oversees the SEC and investor issues. [read post]
14 Feb 2014, 5:48 am
Because the certification can be made by an existing trusted advisor, the advisor may already be in possession of the information on which the certification is made, thereby reducing the burden on the investor. [read post]
6 Aug 2012, 3:32 pm
After the SEC issued its report on an SRO for investment advisers, House Financial Services Committee Chairman Spencer Bachus (R-LA) and Rep. [read post]
6 Oct 2009, 8:26 am
Because those arbitration panels and policies have proven unfair to consumers, "mandatory arbitration clauses should be banned without delay and investors should have the right to choose between litigation or arbitration as the forum for resolving disputes with their financial services firms, " Ms. [read post]
1 Jul 2021, 5:50 am
Of the 19 respondents from corporations, five are in life sciences, three are in energy and utilities, three are in banking and financial services, three are in manufacturing, two are in insurance, one is in technology, one is in telecommunications, and one is in transportation. 79% work for companies with revenues that exceed $10 billion and 100% have over 10,000 employees. [read post]
2 Dec 2015, 4:14 pm
A lot of people don’t realize this but when a financial advisor switches firms and they send you this letter saying you know I’m now registered with this firm because they’ve got a better platform an they’re going to do all these great things for you that’ll improve the servicing of your account. [read post]
24 Jan 2023, 5:59 am
The anonymity of cryptocurrency and the lack of regulation makes it especially susceptible to use in criminal operations, such as the sale or purchase of illegal goods and services, and financial crimes, such as fraud and money laundering. [read post]
10 Feb 2011, 3:05 pm
Professor Elizabeth Warren, White House special advisor, appointed Mr. [read post]
28 Jun 2018, 11:49 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
28 Jun 2018, 11:49 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
6 Oct 2011, 8:56 am
Consequently, your marriage maybe strained by your caregiver duties and, also, you may experience financial hardships i.e. loss of job or reduced hours However, most people are unaware of financial programs, services and strategies which may help offset expensive health care costs. [read post]
21 Jul 2023, 6:30 am
Posner, Cooley LLP, on Tuesday, July 18, 2023 Tags: Business judgment rule, Delaware articles, Delaware cases, Delaware Court of Chancery, Delaware law, Stakeholders, strategy H1 2023 Review of Shareholder Activism Posted by Jim Roseman, Christopher Ludwig, and Cameron Fitzgerald, Barclays Global Advisory Group, on Tuesday, July 18, 2023 Tags: climate disclosures, Mergers & acquisitions, rule 10-B1, SEC enforcement, Shareholder activism, Universal Proxy Vanguard’s Approach to Board… [read post]
21 Jul 2023, 6:30 am
Posner, Cooley LLP, on Tuesday, July 18, 2023 Tags: Business judgment rule, Delaware articles, Delaware cases, Delaware Court of Chancery, Delaware law, Stakeholders, strategy H1 2023 Review of Shareholder Activism Posted by Jim Roseman, Christopher Ludwig, and Cameron Fitzgerald, Barclays Global Advisory Group, on Tuesday, July 18, 2023 Tags: climate disclosures, Mergers & acquisitions, rule 10-B1, SEC enforcement, Shareholder activism, Universal Proxy Vanguard’s Approach to Board… [read post]
8 May 2023, 6:57 am
Merrill Lynch reportedly made changes to its policies to prevent the issue, including telemarketing rules for its advisor trainees after the sanctions in 2014, according to the order. [read post]
12 Jan 2015, 10:09 am
Melissa DeRosa has been appointed Director of Communications and Strategic Advisor to the Governor. [read post]
18 Mar 2021, 1:52 pm
Qatalyst Partners acted as financial advisor to Relativity. [read post]
26 May 2021, 7:15 am
Custodial Activities—custodial activities would apply traditional bank activities to digital asset activities, including general safekeeping of digital assets and related services, such as secondary lending, or acting as a qualified custodian on behalf of investment advisors. [read post]
24 Aug 2008, 6:34 am
This includes, but isn't necessarily limited to fraud, phishing and financial misdeeds.Last month, they grew their concept with the buySAFE Shopping Advisor, which is a free software tool that rates the safety/security of all sites within a search term. [read post]
13 Feb 2023, 10:27 am
The Financial Industry Regulatory Authority (FINRA), overseen by the SEC, provides regulatory services to the financial industry by licensing and regulating broker-dealers. [read post]
20 Jan 2011, 11:00 am
Favorable news included moderate economic expansion in the US, Euro zone, and Australia, as well as rising factory orders and manufacturing activity, rebounding auto sales and automaker profits, slowing growth in US bankruptcies, declining home foreclosures, and an improving financial services sector. [read post]
