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18 Feb 2014, 6:30 am
However, if an employer could schedule an IME in the first week the entire course of the comp claim would be different. [read post]
30 Jan 2014, 1:56 pm
The same applies to an acknowledgement made in accordance with a contract and to a security provided by the obligor [read post]
16 Jan 2014, 6:30 am
” Everyone had an angle in order to try and get adjuster to push the file their way in order to secure a sale or a commission, or some job security. [read post]
13 Jan 2014, 6:25 am
Auch wenn der Grundsatz im Prinzip allgemein anerkannt ist, wirft er vielfältige Fragen auf. [read post]
6 Jan 2014, 1:11 pm
Hier eine umfängliche und informative Zusammenfassung des “FCPA Professor” vom 6.Januar 2014 über die Untersuchungen und Massnahmen der Securities Exchange Commission nach dem Forreign Corrupt Practices Act im Jahr 2013. [read post]
24 Dec 2013, 6:27 am
On November 26, 2013, the Nasdaq Stock Market filed a proposal to amend its listing rules implementing Rule 10C-1 of the Securities Exchange Act of 1934, governing the independence of compensation committee members. [1] Currently, Nasdaq Listing Rule 5605(d)(2)(A) and IM-5605-6 employ a bright line test for independence that prohibits compensation committee members from accepting directly or indirectly any consulting, advisory or other compensatory fees from the company or any… [read post]
23 Dec 2013, 1:55 pm
Coates recently published this post accusing the Securities and Exchange Commission of making policy and political mistakes in taking... [[ This is a content summary only. [read post]
3 Dec 2013, 4:05 am
Currently, Nasdaq Listing Rule 5605(d)(2)(A) and IM-5605-6 employ a bright line test for independence that prohibits compensation committee members from accepting directly or indirectly any consulting, advisory or other compensatory fees from the company or any subsidiary subject to certain exceptions. [read post]
12 Nov 2013, 6:12 am
In addition, FINRA found that Tallant engaged in excessive trading and quantitatively unsuitable in violation of NASD Conduct Rule 2310 and IM-2310-2. [read post]
11 Nov 2013, 4:01 pm
The US estate tax is a death tax imposed on Americans (on the value of all their assets worldwide) and possibly Canadians, but only if the Canadian owns US property at death (US property generally=US real estate or securities of US corporations). [read post]
11 Nov 2013, 8:01 am
The US estate tax is a death tax imposed on Americans (on the value of all their assets worldwide) and possibly Canadians, but only if the Canadian owns US property at death (US property generally=US real estate or securities of US corporations). [read post]
11 Nov 2013, 8:01 am
The US estate tax is a death tax imposed on Americans (on the value of all their assets worldwide) and possibly Canadians, but only if the Canadian owns US property at death (US property generally=US real estate or securities of US corporations). [read post]
10 Nov 2013, 6:46 pm
This is why I do not feel secure. [read post]
8 Nov 2013, 1:19 pm
http://paper.li/EUdiscovery/1312257398 … Stories via @iDiscoveryInc ‘LoveRoom’ Willed Into Existence By Journalists Eager To Bash An Airbnb For Hotties http://ow.ly/2Bk7xR Kazakhstan Enacts Data Privacy Law – Kazakhstan’s new data privacy law, which was passed on May 21, 2013, is sched… http://ow.ly/2Bjva2 Complaints Filed with Spanish Data Protection Agency Rise by 12% in 2012 Andreas Schumann @Ansch115 Nov England, Irland und… [read post]
6 Nov 2013, 7:42 am
By recommending unsuitable transactions, FINRA found that French violated NASD Rules 2310 and IM- 2310-2 and FINRA Rule 2010. [read post]
4 Nov 2013, 5:18 am
In so doing, FINRA found that Hotton violated NASD Rules 3030, 2110 and IM-1000-1, and FINRA Rule 2010. [read post]
20 Oct 2013, 3:33 pm
There is no cost to register for the conference but participants are responsible for securing their own funding for travel, lodging and other incidental expenses. [read post]
20 Oct 2013, 2:30 pm
As always, registration is free, though we will need all participants to register so we have an accurate head count. im [read post]
9 Oct 2013, 7:00 am
” NASD IM-2310-2(b)(2) prohibits brokers from excessively trading in customer accounts. [read post]
7 Oct 2013, 4:34 pm
FINRA alleged that Kelly willfully violated Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act of 1934”), Rule 10b-5, and violated FINRA Rules 2020, and 2010, NASD Rules 2120, 2110, 2310, and IM-2310(a) and (b). [read post]
