Search for: "Financial Industry Regulatory Authority"
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23 Feb 2017, 5:45 am
If you wet your finger and hold it in the air, you can feel the change in the direction of the wind flowing from the Financial Industry Regulatory Authority. [read post]
22 Feb 2017, 11:55 am
We will continue to monitor the New York, New Mexico, and Indiana proposed laws, as well as legislative and regulatory developments affecting the small-dollar lending industry in other states. [read post]
22 Feb 2017, 11:15 am
Today's BrokeAndBroker.com Blog considers a recent FINRA regulatory settlement involving the legacy of life settlement sales.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, James Calder submitted a Letter of Acceptance, Waiver… [read post]
22 Feb 2017, 11:06 am
Industry Matters In six out of ten industries – telecom, utilities, financials, health care, industrials, and materials – over 75% of companies have added at least one additional committee. [read post]
22 Feb 2017, 8:42 am
Take that as a spoiler alert.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2016, and as amended thereafter, pro se public customer Claimant Aaron alleged breach of fiduciary duty and misrepresentations/non-disclosures by Respondent Merrill Lynch when that firm purportedly sent unauthori... [read post]
22 Feb 2017, 5:40 am
I am formally calling upon the august Wall Street self-regulatory organization, the Financial Industry Regulatory Authority, to stop putting Peeps into vacuums -- and to stop putting Peeps into Oreo cookies. [read post]
22 Feb 2017, 5:12 am
And few industries are more susceptible to breaches of consumer privacy than the financial community. [read post]
21 Feb 2017, 1:27 pm
On February 16, 2017, the New York Department of Financial Institutions (“DFS“) promulgated a regulation that requires “Covered Entities” to establish and maintain a cybersecurity program designed to protect consumers and the financial services industry itself (the “Regulation“). [read post]
21 Feb 2017, 3:16 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2013, public customer Claimant Strang asserted causes of action including fraud, negligence, and breach of fiduciary duty. [read post]
21 Feb 2017, 2:03 am
If you're going through only the motions of looking, then everything is a silly game and nothing worth looking for gets found.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication... [read post]
20 Feb 2017, 8:32 pm
This executive order directs the HHS Secretary and authorized heads of agencies to modify “any [ACA] provision…that would impose a financial burden on individuals, families…. [read post]
20 Feb 2017, 8:29 pm
“Regulations” for purposes of the memorandum include guidance documents and any other statements “that set[] forth a policy on a statutory, regulatory, or technical issue or an interpretation of a statutory or regulatory issue. [read post]
20 Feb 2017, 12:15 pm
Kolf was permanently barred from the securities industry by the Financial Industry Regulatory Authority. [read post]
17 Feb 2017, 1:28 pm
Both managers and investors in EB-5 investment funds should continuously monitor and evaluate the progress of their EB-5 projects, and collect documentation of transfers of EB-5 funds, payments of project expenditures, and other financial records that will be required as part of the I-829 petitions. [read post]
17 Feb 2017, 1:28 pm
This article is co-authored by Daniel B. [read post]
17 Feb 2017, 8:39 am
It acquires the characrer of regulatory arbitration--something quite new. [read post]
17 Feb 2017, 7:16 am
The Financial Industry Regulatory Authority (FINRA) hopes to facilitate a faster method for small claim attribution by the launching of a new time-limited hearing over the phone. [read post]
16 Feb 2017, 9:30 pm
Drawing comparisons to the tobacco industry, the authors discuss a recent suit brought by Exxon Mobil against the attorneys general of Massachusetts and New York, in which Exxon claimed “a previously unrecognized corporate right under the Constitution both to ‘speak’ and to ‘not speak’ about climate change any way it wants. [read post]
16 Feb 2017, 3:01 pm
About The Author Recognized by LexisNexis® Martindale-Hubbell® as a “AV-Preeminent” (Top 1%/ the highest) and “Top Rated Lawyer,” with special recognition as “LEGAL LEADER™ Texas Top Rated Lawyer” in Health Care Law and Labor and Employment Law; as among the “Best Lawyers In Dallas” for her work in the fields of “Labor & Employment,” “Tax: Erisa & Employee Benefits,” “Health… [read post]
14 Feb 2017, 2:37 pm
Next, we have New Nuclear from Hogan Lovells, a blog following the legal and regulatory developments shaping the future of advanced nuclear reactor industry. [read post]
