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13 Aug 2020, 3:09 pm by Astarita
(SCF) has agreed to settle charges that it selected mutual funds and cash sweep money market funds for clients that provided undisclosed revenue to the firm’s…Read the Full Press ReleaseHave a securities law question? [read post]
30 Aug 2017, 6:55 am
Please contact me as soon as possible to arrange an inspection of my property at a mutually agreeable time. [read post]
15 Feb 2017, 11:33 am by Gwenyth Gamble
The deal will remove tariffs on most traded goods and services and also provides for the mutual recognition of certification for a wide range of products. [read post]
5 Nov 2007, 5:41 am
eAppraiseIT, a subsidiary of First American Corporation, in a scheme detailed in numerous e-mails, caved to pressure from Washington Mutual to use a list of preferred “Proven Appraisers” who provided inflated appraisals on homes. [read post]
1 Jan 2024, 10:00 pm
This policy has permitted certain nonactive investors (such as mutual funds) to purchase and sell equity interests in utilities and holding companies without the typical FERC review of such investments. [read post]
1 Jan 2024, 10:00 pm
This policy has permitted certain nonactive investors (such as mutual funds) to purchase and sell equity interests in utilities and holding companies without the typical FERC review of such investments. [read post]
6 Aug 2007, 1:16 pm
On the contrary, the prospect of mutual gains from organizing this enterprise provided pirates with the incentive to find private ways of securing cooperation and order. [read post]
7 Sep 2007, 4:59 am
The "Market Data" section on FINRA's website provides data on equities, options, mutual funds and corporate, municipal, Treasury and Agency bonds. [read post]
17 Jun 2015, 7:48 am by Anne Tucker
Stein provided remarks at the Brookings Institute's 75th Anniversary of the Investment Company Act on Monday, June 15th. [read post]
18 Aug 2008, 8:38 pm
And, the SEC would expect that the foreign jurisdiction would provide reciprocal treatment to U.S. exchanges and broker-dealers seeking to conduct business in that country. [read post]
9 Nov 2014, 6:44 am by Joseph J. Lazzarotti
Apparently, the records gathered by CMI were incomplete as the cardiac-related medical records were not provided to Northwestern Mutual. [read post]
4 Jan 2010, 6:44 am
Medical Mutual's contract with Premier Health (one of the area's larger provider networks) had expired, and talks had broken down (as they will). [read post]
26 Feb 2010, 8:47 am
  So ruled New York No-Fault Arbitrator Thomas McCorry earlier this week in Applicant 1 and New York Central Mutual Fire Insurance Company. [read post]
4 Sep 2014, 4:58 am by David DePaolo
And what was the purpose, other than to save carrier money that should otherwise have gone to providing the originally APPROVED treatment? [read post]
27 May 2009, 1:05 am
The proposal would be truer to its expressed goal if it provided similar benefits to other investments and not just mutual funds.Perhaps the redeeming aspect of the news release is its disclosure that this is "the third time that legislation has been introduced. [read post]
13 Sep 2010, 12:52 am by Jacob Katz Cogan
II, since the aim of the GATS, at least as it reads in its preamble, is to provide a multilateral framework to trade liberalization in the services market on a non-discriminatory basis. [read post]