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27 Jun 2009, 4:03 am
" The Task Force was chaired by the CONSOB of Italy and the Financial Services Authority of the United Kingdom. [read post]
26 Jun 2009, 5:28 pm
Integration with web-services: To provide traders with services of higher quality, the system supports the integration with web services (www, wap). [read post]
25 Jun 2009, 12:30 pm
The $16 million community center was designed as a sustainable project to serve residents of the Mount Hope section of the Bronx and provide facilities for numerous community-based programs, including youth services, employment services, financial literacy, vocational training and asset building programs. [read post]
22 Jun 2009, 7:34 pm
Following his conviction, the SEC barred him from working for an investment advisor, a broker dealer, or an investment company. [read post]
22 Jun 2009, 9:23 am
However, despite this commonality of services, financial professionals such as broker-dealers and investment advisors are subject to varying and inconsistent legal standards. [read post]
16 Jun 2009, 10:00 pm
At the same time, clients facing their own financial pressures are increasingly scrutinizing budgets and demanding more value for their legal expenses. [read post]
15 Jun 2009, 9:24 pm
The NASAA CRD/IARD Steering Committee and the CRD/IARD Forms and Process Committee have worked with FINRA, regulators, and representatives of the financial services industry in developing amendments to the Form U4 and Form U5. [read post]
15 Jun 2009, 4:24 pm
CFTC Reports to US Senate Subcommittee on Financial Services - Testimony Provided by Chairman Gary Gensler On June 2nd, 2009 Gary Gensler of the Commodity Futures Trading Commission (CFTC) addressed the US Senate Subcommittee on Financial Services with a discussion of the issues related to the CFTC’s 2010 Budget. [read post]
15 Jun 2009, 6:50 am
He is a member of the House Financial Services Committee, which oversees the SEC and investor issues. [read post]
15 Jun 2009, 6:28 am
Postal Inspection Service. [read post]
12 Jun 2009, 9:43 am
With a collection of over 18,000 financial advisors, according to press reports, the new venture will control both firms' retail operations. [read post]
9 Jun 2009, 7:00 am
Under the contract, Venturi agreed to serve as a financial advisor and find financing for the Little Exuma project through a private placement of equity, preferred stock, debt securities, or a combination of those financial instruments. [read post]
2 Jun 2009, 7:48 am
Fish and Wildlife Service, National Resource Conservation Service, U.S. [read post]
UBS Financial Services Inc. Secures Temporary Restraining Order Against Three Former Brokers in Ohio
2 Jun 2009, 5:52 am
A dispute between UBS Financial Services Inc. [read post]
1 Jun 2009, 9:10 pm
Last month, the Financial Industry Regulatory Authority announced final settlements reached with NatCity Investments Inc. of Cleveland (a $300,000 fine), M & T Securities Inc. of Buffalo (a $200,000 fine), M & I Financial Advisors Inc. of Milwaukee (a $150,000 fine), and Janney Montgomery Scott LLC of Philadelphia (a $200,00 fine). [read post]
31 May 2009, 6:28 pm
Capuano (D-MA) and Michael Castle (R-DE), addresses one of NASAA's Core Principles for Financial Services Regulatory Reform - closing regulatory gaps. [read post]
29 May 2009, 4:00 am
No plaintiff has succeeded on a § 36(b) claim against a fund advisor. [read post]
28 May 2009, 4:04 pm
Together, these revisions to Rule 206(4)-2 are designed to strengthen the controls relating to the advisors' custody of client assets and deter advisors from fraudulent activity. [read post]
27 May 2009, 8:31 am
If you don't want to spend time searching through the various rules and regulations, select a specialised company or financial advisor that will help you set up your offshore account. [read post]
26 May 2009, 11:34 am
But these financial shortfalls are only a small part of the USCO’s burden. [read post]
