Search for: "Security Services Division"
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22 May 2013, 12:57 pm
The firms are Ameriprise Financial Services, Commonwealth Financial Services, Lincoln Financial Advisors, Securities America, and... [read post]
6 Jul 2010, 2:24 am
Question: Is the securities division facing budget cuts? [read post]
20 Feb 2018, 8:57 am
For example: one spouse may agree to forgo future maintenance payments so as to secure real estate ownership. [read post]
9 Sep 2011, 8:09 am
The 8-11-2011 effective expert network services regulation in Massachusetts does not apply to investment advisers subject to SEC authority, clarified the Securities Division by policy statement. [read post]
9 Jun 2017, 3:00 am
On May 19, 2017, the Colorado Division of Securities adopted final cybersecurity rules under the Colorado Securities Act. [read post]
23 Jun 2021, 3:19 pm
According to the Department of Homeland Security, Secret Service Special Agents “are the elite agents you see protecting the President and Vice President. [read post]
17 May 2012, 1:42 pm
Securities and Exchange Commission, testified today before the Committee on Financial Services, U.S. [read post]
24 Mar 2022, 10:05 am
Kahl, Acting Director of the SEC’s Division of Examinations, will depart the agency after more than 21 years of service. [read post]
28 Jun 2022, 7:18 am
The Securities and Exchange Commission charged Ernst & Young LLP (EY) for cheating by its audit professionals on exams required to obtain and maintain Certified Public Accountant (CPA) licenses, and for withholding evidence of this misconduct from the SEC’s Enforcement Division during the Division’s investigation of the matter. [read post]
16 Nov 2020, 7:52 am
The following statement is significant coming from a state banking regulator: “As a legal matter, the [Wyoming Division of Banking] views digital assets in the same light as traditional asset classes, and therefore Wyoming trust companies may properly provide custodial services for virtual currency, digital securities and digital consumer assets. [read post]
10 Oct 2007, 8:56 am
Director of Collection Management Services Division
Position #102
Salary Range $75,000 - $90,000
The Library of Virginia is seeking a dynamic and experienced candidate to administer our Collection Management Services Division, responsible for providing high-quality, innovative, and user-oriented service to internal and external customers of the Library. [read post]
8 Jul 2008, 1:49 pm
The Enforcement Section of the Massachusetts Securities Division recently filed an administrative complaint against UBS Securities, LLC and UBS Financial Services, Inc. alleging conflicts of interest and use of misleading sales practices in the marketing of auction rate securities (“ARS”). [read post]
29 Sep 2018, 8:59 am
This post is based on her recent testimony before the United States House of Representatives Committee on Financial Services, Subcommittee on Capital Markets, Securities, and Investment, available here. [read post]
17 Mar 2015, 8:27 pm
Police say she then got back in her car and tried to drive away from pursuing members of the Uniformed Division of the Secret Service. [read post]
5 Mar 2008, 12:27 am
Before joining the Division, he worked for AIG Insurance Management Services, Sedgwick Management Services (U.S.) [read post]
15 Mar 2021, 10:00 am
., Board Certified by The Florida Bar in Health Law The Office of Civil Rights (OCR), a division within the US Department of Health and Human Services (HHS), is the federal organization responsible for investigating complaints and enforcing the Privacy and Security Regulations implementing the Health Insurance Portability and Accountability Act, commonly referred to as "HIPAA. [read post]
12 Jan 2021, 9:15 am
It has long been a fundamental tenet of advertising law that comments made to investors, and particularly those made before the commercial launch of a product or service, do not constitute the kind of “advertising” that is regulated by the Federal Trade Commission (FTC) or the National Advertising Division of the Better Business Bureau (NAD), and are outside the reach of the Lanham Act. [read post]
20 Nov 2009, 3:12 pm
Securities and Exchange Commission, Before the House Committee on Financial Services, October 7, 2009. [read post]
2 Jan 2008, 6:00 am
For that reason, the Comptroller issued a letter ruling that year holding that such services were not taxable.In the current situation, a data processor asked the Comptroller’s Tax Policy Division last June whether the services it was purchasing were taxable. [read post]
12 Apr 2018, 3:50 am
Securities and Exchange Commission / Division of Trading and Markets No-Action Letter to FINRA: Third-Party Recordkeeping Services under Rule 17a-4 (SEC No-Action Letter to FINRA / April 12, 2018) https://www.sec.gov/divisions/marketreg/mr-noaction/2018/finra-041218-17a5.pdf READ the FULL TEXT NAL.In pertinent part, the NAL states:[C]ontractual provisions that would permit, among other things, a service provider to delete or discard… [read post]
