Search for: "The Regulatory Review"
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13 Apr 2021, 6:28 am
On April 15, 2021, the House Financial Services Committee’s Subcommittee on Consumer Protection and Financial Institutions will hold a hearing titled, “Banking Innovation or Regulatory Evasion? [read post]
7 Feb 2025, 3:02 pm
(BLS) reviewed the allegation by pulling all the documents signed by the client and comparing the signatures to the complaint letter. [read post]
8 Jan 2021, 4:17 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Angel Wynette Bardeche (CRD# 4698117) from the securities industry for nine months and fined her $10,000. [read post]
3 Apr 2012, 12:15 pm
Following the formula established in previous years, each of the Jumpstart sessions will begin with a brief review of the basic legal resources so that every student has a complete grasp of the legal research process. [read post]
14 Dec 2023, 10:16 am
In addition to answering specific question from clients, I also assist in preparing, reviewing, and filing the lobbyist registrations and lobbyist activity reports. [read post]
16 Dec 2011, 7:01 am
According to FINRA, Wells Fargo failed to review the reverse convertible transactions to make sure they were suitable for the customers. [read post]
1 Feb 2017, 6:54 am
Much of the pressure is a result of heightened regulatory requirements, shifting investor expectations and transformative global changes. [read post]
22 May 2023, 3:15 am
She began her SEC career in the Division of Corporation Finance’s Disclosure Review Program. [read post]
24 May 2008, 2:37 pm
Court of Appeals for the Federal Circuit reviews the CFC. [read post]
25 Jul 2024, 6:31 am
In a working paper, we explore how prior employment affiliations of examiners in the Securities and Exchange Commission’s (SEC) filing review program affect the strictness of their oversight. [read post]
25 Feb 2008, 4:36 am
In many instances, contractors and owners are unaware of these implied obligations: (1) the duty to disclose material information to prospective bidders; (2) the duty to provide accurate plans and specifications; (3) the duty to provide accurate site information; (4) the duty to perform necessary regulatory approvals, permits and easements; (5) the duty to provide access to the work; (6) duties relating to owner/furnished products, materials or equipment; (7) the… [read post]
7 Oct 2013, 4:24 am
In Regulatory Notice 13-31, FINRA identified those areas of inquiry it will likely make when conducting a suitability examination. [read post]
31 May 2021, 7:16 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Jeffrey Warren from the securities industry. [read post]
21 May 2008, 10:31 am
The letter from Reggie Groves, Vice President, Quality and Regulatory, claims that the "chance there will be a problem with your Sprint Fidelis lead remains small. [read post]
24 Oct 2008, 1:26 am
Liz Atkins, Austrac's General Manager Regulatory Policy recently made the following observations about compliance to date: Austrac expects reporting entities to have appointed an AML/CTF Compliance Officer; in the area of employee due diligence, she reminded businesses that staff needed to be re-screened if they were moved to sensitive areas; program reviews needed to be done by someone not involved in the development of the… [read post]
14 Aug 2019, 8:36 am
Federal Energy Regulatory Commission on August 2, 2019. [read post]
16 Apr 2019, 2:08 am
CDC, public health and regulatory officials in multiple states, and the U.S. [read post]
27 Oct 2007, 9:02 am
There are time when the regulatory system is so incestuous that safety is compromised. [read post]
17 May 2024, 11:26 am
The Financial Industry Regulatory Authority (FINRA) recently barred a financial advisor from Alexandria, Virginia who had been registered with Wells Fargo Clearing Services LLC. [read post]
4 Sep 2014, 1:36 am
” Read: Why Keeping Corporate Lawyers Quiet Is Good For Us All at The National Law Review The post Why Keeping Corporate Lawyers Quiet Is Good For Us All appeared on InhouseBlog.com. [read post]
