Search for: "PROVIDENCE MUTUAL"
Results 421 - 440
of 15,479
Sorted by Relevance
|
Sort by Date
15 Nov 2017, 6:48 am
The firm was censured and required to provide FINRA with a remediation plan to remediate eligible customers who qualified for, but did not receive, an applicable mutual fund sales-charge waiver. [read post]
9 Apr 2018, 5:00 am
Fund managers use Active Share information to help analyze mutual fund investments, and mutual fund companies provide Active Share to some professional and institutional investors, but generally not to retail investors. [read post]
18 Sep 2019, 11:42 am
The firm reportedly failed to adopt adequate controls to detect instances in which they did not provide sales charge waivers to eligible customers in connection with their mutual fund purchases, according to the findings. [read post]
5 Apr 2012, 6:54 am
Bredar ruled this week that a legal malpractice insurer - our carrier Minnesota Lawyers Mutual, who I would recommend by the way - does not have to provide coverage for a legal malpractice claim because its insured attorneys did not provide adequate notice of a potential claim. [read post]
5 Apr 2012, 6:54 am
Bredar ruled this week that a legal malpractice insurer - our carrier Minnesota Lawyers Mutual, who I would recommend by the way - does not have to provide coverage for a legal malpractice claim because its insured attorneys did not provide adequate notice of a potential claim. [read post]
8 Aug 2017, 7:11 am
(FINRA Case #2016050259001) Cetera Advisors LLC (CRD #10299, Denver, Colorado) – An AWC (Accept, Waiver & Consent) was issued in which the firm was censured and required to provide a remediation plan to FINRA to remediate eligible customers who qualified for, but did not receive, an applicable mutual fund sales-charge waiver. [read post]
14 Dec 2017, 5:18 am
Progressive County Mutual Insurance Co. [read post]
7 Oct 2019, 5:03 am
On September 11, 2019, the Supreme Court of Ohio heard oral argument in Nationwide Mutual Fire Insurance Company v. [read post]
26 Jul 2019, 1:24 pm
The Financial Industry Regulatory Authority (FINRA) announced that because of its mutual fund waiver initiative, it has arrived at a settlement with 56 broker-dealers that will provide almost 110,000 retirement and charitable accounts with $89M in restitution. [read post]
29 Jun 2015, 10:00 pm
Liberty Mutual Insurance Company and Dover Corporation. [read post]
29 Apr 2019, 6:15 am
Upper Deck disputes this contention, as neither the policy nor applicable law provides that the insurer may limit its payment of defense costs to those charged by a single law firm. [read post]
10 Feb 2011, 1:29 pm
California Labor Code section 515(d) provides that "[f]or the purpose of computing the overtime rate of compensation required to be paid to a non-exempt full-time salaried employee, the employee's regular hourly rate shall be 1/40th of the employee's weekly salary. [read post]
5 Jun 2020, 6:54 am
Note that lenders and borrowers are permitted to mutually agree to modify the maturity terms of a covered loan. [read post]
10 May 2007, 3:00 am
The Court held yes, as the domestic violence statutes do not provide for mutual domestic violence orders under the factual scenario in the instant case. [read post]
2 Nov 2009, 8:28 am
" An adviser's rate structure obviously is an important factor to consider, but I think we also need to analyze factors like any difference in services provided captive funds versus institutional investor clients, the actual services provided to captive funds in exchange for the negotiated fees and the independence of the fund's directors or trustees who negotiated the adviser's contract. [read post]
11 Jul 2014, 4:00 am
Providing assistance to an employee in the negotiating unit served with disciplinary chargesSource: Inquiry from a NYPPL readerA reader asks “what kinds of assistance may a union provide a member served with disciplinary charges? [read post]
18 Jul 2007, 12:31 pm
In return for the commissions received on the transactions, the broker-dealer provides other services to the advisor or these can be rebated to the clients. [read post]
31 Aug 2016, 6:51 am
§ 8108, which provides: “In the case of a mutual and running account between parties, the limitation specified in § 8106 [three years] of this title shall not begin to run while such account continues open and current. [read post]
11 May 2015, 11:32 pm
In the author’s words, the contribution discusses briefly the acts providing for mutual recognition of judgments in civil and commercial matters. [read post]
14 Apr 2022, 8:11 am
”The Commission is also proposing that the daily liquid asset and weekly liquid asset minimum liquidity requirements be increased to 25 percent and 50 percent, respectively, to provide a more substantial liquidity buffer in the event of rapid redemptions. [read post]
