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15 Feb 2014, 9:55 am
” See also Opening a Path for Recovery: Competition in Financial Markets: Vice President of the European Commission responsible for Competition Policy - ”I hope that the decisions I’ve talked about today and the rest of our work in financial markets make it sufficiently clear that we will remain alert to keep the industry open, competitive, and transparent. [read post]
12 Feb 2016, 11:29 am
On February 5, 2016, the Securities and Exchange Commission (“SEC”) filed a Complaint in the United States District Court for the District of Connecticut (the “Complaint”) charging Dennis Wayne Hamilton, the Vice President of Tax for Harman International Industries, Inc. [read post]
20 Sep 2011, 2:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced it has fined Pointe Capital, Inc. [read post]
20 Jun 2018, 7:31 am
The commission would have a co-chair from each party. [read post]
5 Apr 2021, 9:08 pm
It was no surprise when FDA—and the Federal Trade Commission (FTC) in some instances—began targeting unapproved stem cell products advertised as miracle cures for COVID-19. [read post]
14 Mar 2011, 6:52 am
Keeping pace with evolving marketing practices and the Commission’s focus on privacy issues in on-line and mobile marketing, the FTC is also proposing to collect data on the industry’s digital and social media marketing and its data collection practices with respect to underage consumers. [read post]
24 May 2011, 7:14 am
Meanwhile, the creative industry estimates that piracy has cost the European music, movie, TV and software industry €10 billion and more than 185 000 jobs in 2008 alone. [read post]
4 Apr 2012, 6:03 pm
Employers and adjusters often inadvertently drive up the cost of workers compensation by not controlling the cost of litigated work comp claims that go before the judicial arm of the state’s work comp system. [read post]
3 Sep 2007, 6:33 pm
But they have also blocked enforcement actions, weakened industry oversight rules and promoted voluntary compliance over safety mandates, according to interviews with current and former senior agency officials and consumer groups and a review of commission documents. [read post]
18 Dec 2017, 3:30 am
Aras represents securities industry professionals and firms in enforcement actions and investigations initiated by the United States Securities and Exchange Commission and FINRA, among others. [read post]
1 Nov 2019, 4:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4892/securities-industry-commentator/Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud (BrokeAndBroker.com Blog)As behemoth brokerage firms go zero-commission on trades, advisors are concerned (CNBC.com by Andrew Osterland)Ex-Merrill broker-turned-RIA settles CE cheating allegations (On Wall Street by Kenneth… [read post]
6 Jun 2013, 9:04 am
Shortly after the Commission began its investigation, Nintendo moved for summary determination that the domestic industry requirement of Section 337 was not satisfied at the time Motiva filed its complaint with the Commission. [read post]
23 Nov 2010, 9:14 am
The second of the Commission reports issued yesterday focuses on one reason for the complete lack of preparedness: underinvestment in oil spill containment technology by either the oil industry or the government. [read post]
17 Nov 2009, 4:11 pm
By determining not to review the ID, the Commission appears to have confirmed that patent holding companies with similar domestic industry activities can enforce intellectual property rights at the ITC. [read post]
19 May 2017, 7:34 am
NetSpend Corporation (NetSpend) recently agreed to settle with the Federal Trade Commission (FTC) regarding allegations that NetSpend deceived consumers about certain aspects of NetSpend’s reloadable prepaid cards. [read post]
3 Oct 2023, 7:26 am
Continue Reading › The post How unsuitable investments, unnecessary commissions and fees can hurt a vulnerable investor: FINRA disciplines Christopher F. [read post]
7 Sep 2012, 11:18 am
With all the news about the false controversy involving hydraulic fracturing, the Railroad Commission of Texas is pre-emptively addressing concerns about another important issue for the Texas oil and gas industry--natural gas flares. [read post]
4 Jun 2014, 5:00 am
"[W]e believe implementation of the EU Accounting & Transparency Directives, in particular the fast-track schedule being pursued in the U.K., increases the urgency of our industry's request for the Commission to consider [Section] 1504 in 2014 and to work towards publishing proposed rules as soon as possible and in any event before year-end. [read post]
1 Sep 2011, 2:59 am
Top food and agriculture industry groups are commending U.S. officials for their leadership at the recent session of the Codex Alimentarius Commission, a global food standards-setting body created by the U.N. [read post]
6 Dec 2023, 4:55 am
The CRTC’s Bill C-11 hearings are in their third and final week as a steady stream of broadcasters and producers make their way to Gatineau to urge the Commission to force Internet streamers to hand over cash in a giant cross-industry subsidy scheme designed to support everyone from small producers to Bell’s news division. [read post]
