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8 Jan 2023, 8:58 am
We Got A 17 Year Old Margin Capability Dispute Against E*TRADE (BrokeAndBroker.com Blog)FINRA NAC Fines and Suspends Rep For Paying Commissions to an Unregistered Person (BrokeAndBroker.com Blog)... [read post]
25 Jun 2021, 7:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5927/securities-industry-commentator/Federal Court Puts the Confidential Back Into Confidential Settlement Agreement (BrokeAndBroker.com Blog)Jefferson County man charged with operating binary options fraud scheme (DOJ Release)SEC Charges Disbarred Attorney with Violating an Order Barring Him from Appearing or Practicing as an Attorney… [read post]
28 Nov 2022, 3:50 am
United States Securities and Exchange Commission, Defendant (Complaint, SDNY)... [read post]
16 Sep 2012, 5:08 pm
The charges against Servier and Lundbeck follow extensive investigation by the Commission into commercial practices in the pharmaceutical industry. [read post]
23 Mar 2020, 12:17 pm
That said, I encourage the commission to go one step further. [read post]
29 Nov 2020, 5:13 am
Some reflections on the Commission White Paper on Foreign Subsidies - 1 December 2020 The European Commission is concerned that subsidies granted by non-EU governments to companies active in the European Union appear to have an increasing impact on the Single Market. [read post]
3 Apr 2014, 5:26 am
Many people work in an industry where it is very common to get paid based upon performance rather than simply showing up to work. [read post]
2 Dec 2010, 10:55 am
On the one hand, statutory rates in the U.S. are significantly higher than the average for industrialized countries (even as revenue collection is low), and the US method of taxing foreign income is outside the norm.The U.S. is one of the only industrialized countries with a hybrid system of taxing active foreign-source income, noted the Commission, and the current system puts U.S. corporations at a competitive disadvantage. [read post]
16 Mar 2016, 5:47 am
Though he had left those jobs years before, people wondered if a former lobbyist would properly regulate the industries he once represented. [read post]
6 Mar 2011, 2:57 pm
In a letter to the SEC and CFTC, the Securities Industry and Financial Markets Association urged the Commissions to carefully consider comity and the extraterritorial application of the derivatives provisions in Title VII of Dodd-Frank when adopting swap dealer regulations for a global marketplace. [read post]
21 May 2012, 1:30 pm
"Greg has led a Sisyphean fight against some of the nuclear industry's most entrenched opponents of strong, lasting safety regulations, often serving as the lone vote in support of much-needed safety upgrades recommended by the Commission's safety staff. [read post]
10 Oct 2023, 7:43 am
As this nascent industry takes shape, it is important that U.S. policymakers understand its competitive dynamics. [read post]
20 Oct 2014, 12:01 pm
Federal Trade Commission. [read post]
7 Jan 2020, 9:33 am
Due to this conduct, FINRA issued a permanent bar from the industry. [read post]
26 Sep 2007, 4:28 am
Over two years ago, the European Commission (“EC”) initiated an inquiry into the state of competition in the European Union (“EU”) business insurance industry. [read post]
26 May 2022, 5:19 am
The post US Federal Trade Commission investigates baby formula shortage appeared first on JURIST - News. [read post]
25 Jul 2017, 5:00 am
Industry objections. [read post]
26 Feb 2021, 11:58 am
Age discrimination is the most ubiquitous form of discrimination unchecked in the workplace – and not just in the tech industry (PwC Annual CEO Survey). [read post]
9 May 2012, 9:37 am
Industry Group Presses CFTC and SEC on New Swap RulesA group of asset managers, hedge funds and proprietary managers issued an open letter to the Commodity Futures Trading Commission and the Securities and Exchange Commission on Tuesday, calling for the agencies to move quickly to implement Dodd-Frank swap-clearing requirements by the end of the year. [read post]
19 Nov 2018, 4:44 am
Does Stockbroker X have the right to retain 100% of that commission? [read post]
