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1 Sep 2011, 5:53 am
Many financial advisors say that if your 403(b) only has high cost investments, you are better off foregoing participation and contributing to a Roth IRA, a traditional IRA, or even in some instances a taxable account. [read post]
26 Oct 2018, 12:44 pm
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]
3 Feb 2017, 7:08 pm
What all that means is that the surest way for the financial services industry to stave off the payday and arbitration rule makings is the remove Richard Cordray as CFPB Director before the rule makings are complete. [read post]
5 Dec 2017, 7:30 am
This would include Facebook and Google (including YouTube) as they are ad-based services using user-generated content. [read post]
6 Mar 2020, 4:02 pm
Nasdaq Rule 5250(c) requires that companies timely file all required periodic financial reports with the SEC. [read post]
11 Oct 2019, 11:58 am
Violating Campaign Finance Laws In May, a television interview with Trump’s advisor, former New York City mayor Rudy Giuliani revealed that the president may have broken federal laws regarding campaign finance or financial disclosures. [read post]
25 Mar 2011, 12:37 pm
You can hire financial advisors to make investments, accountants to handle taxes and bookkeeping for the trust, and lawyers to advise you on questions of interpretation. [read post]
20 Jan 2022, 4:38 am
Malhotra also serves as a trusted eDiscovery advisor to some of the firm’s largest financial and technology sector clients. [read post]
6 Sep 2011, 12:56 pm
Citizenship and Immigration Services website makes no specific mention of FBAR filing requirements. [read post]
7 Nov 2022, 6:32 am
State Street Global Advisors’ Asset Stewardship team aims to address all financially material issues – including environmental, social, and governance (“ESG”) issues – through our proxy voting and company engagement, thereby promoting the reduction of risk in our clients’ investments. [read post]
9 Jun 2024, 9:05 pm
In preparation for a potential second presidency, Trump’s advisors have a vetted list of replacements for non-adjudicative administrative officials, waiting to be called into action. [read post]
3 Sep 2009, 5:06 am
(f) A borrower may designate, with consent given in writing, aHUD-certified housing counseling agency, attorney, or other advisor todiscuss with the mortgagee, beneficiary, or authorized agent, on theborrower’s behalf, the borrowers financial situation and options for theborrower to avoid foreclosure. [read post]
29 Sep 2017, 6:34 am
Securities and Exchange Commission, on Tuesday, September 26, 2017 Tags: Broker-dealers, Capital formation, Compensation ratios, Cybersecurity, Disclosure, EDGAR, Financial technology, Investment advisers, Oversight, SEC, SEC enforcement, Securities enforcement, Securities regulation CEOs and ISS’ Proxy Contest Framework Posted by Institutional Shareholder Services, Inc., on Wednesday, September… [read post]
9 Jul 2018, 12:52 pm
Those disclosures “included: (1) the unlevered cash flows used in the financial advisor’s discounted cash flow (“DCF”) analysis; (2) Krispy Kreme’s management’s considerations regarding their potential post-merger employment; (3) the financial advisor’s potential conflict of interest; and (4) metrics used to evaluate comparable companies. [read post]
21 Jul 2020, 4:30 am
Prior to his Morgan Stanley registration, Carter was employed by Ameriprise Financial Services for a short period between April and June 2011. [read post]
16 Jun 2021, 12:32 pm
(REJ), a Louisiana corporation whose principals were independent financial advisors for Ameriprise Financial Services, Inc. [read post]
10 Jan 2019, 9:30 pm
In a report, the EBA noted that crypto-assets usually “fall outside the scope of EU financial services regulation,” causing EU member states to take “divergent approaches to the regulation of these activities. [read post]
24 Dec 2021, 6:26 am
, Proxy advisors, Proxy voting, SEC, SEC rulemaking, Securities litigation, Securities regulation, Shareholder voting ESG and 2021 Year-End Financial Reporting Season Posted by Maria Castañón Moats and Stephen G. [read post]
14 Sep 2010, 3:38 pm
A Veteran Service Organization (VSO) that is accredited through the VA.[1] A listing of approved organizations is available online at http://www.va.gov/ogc/recognizedvsos.asp3. [read post]
21 Oct 2010, 7:04 am
Dimensional Fund Advisors is an investment advisor registered with the Securities and Exchange Commission. [read post]
