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9 Nov 2009, 12:56 pm
According to the November 6 notice, the “Commission has determined not to review the ID. [read post]
20 Dec 2023, 12:24 pm
The Uniform Law Commission provides states with non-partisan, well-conceived and well-drafted legislation that brings clarity and stability to critical areas of state statutory law. [read post]
13 Dec 2017, 6:27 am
Cotter entered the securities industry in 1984. [read post]
7 Jan 2009, 10:37 am
JERRY BOWYER: Stop the Reform-Industrial Complex! [read post]
27 Jul 2015, 2:56 am
One battleground brings into play the dynamics of charging customers a transaction-based commission versus an assets-based fee. [read post]
4 Jun 2021, 2:04 pm
Case In PointOn June 12, 2020, the Financial Industry Regulatory Authority ("FINRA")/ Department of Enforcement filed a Complaint against Adam James Makkai alleging that he violated FINRA Rules 2040 and 2010 by paying $27,037 in commissions to a... [read post]
5 Apr 2011, 10:36 am
This crucial role of space is reflected in the European Commission communication presented today. [read post]
13 Feb 2017, 7:23 am
According to FINRA, Kelly Althar has been barred from the securities industry. [read post]
29 Sep 2013, 6:11 pm
Robert Gist (Gist) was recently fined $5.4 million by the Securities and Exchange Commission (SEC) and barred from association with any broker-dealer by the Financial Industry Regulatory Authority (FINRA). [read post]
28 Jun 2023, 11:23 am
Solar Energy Industries Association v. [read post]
15 Jan 2012, 10:46 am
Without the exemptive relief requested in the ICE petitions, the MFA believes that none of these benefits will be realized.The ICE petition is also supported by the Futures Industry Association. [read post]
14 Dec 2010, 12:41 pm
As it is often vital for companies to work together to achieve synergies, there exist a vast number of horizontal co-operation agreements in many industries. [read post]
9 Mar 2011, 2:57 pm
The primary issue is whether the Industrial Commission correctly concluded that Ms. [read post]
18 Jan 2012, 1:59 am
The European Commission -- the governing body of the 27-state European Union -- is warning the European juice industry that Brazilian juice imports could face fungicide testing in response to the recent move by U.S. [read post]
15 Jan 2019, 6:33 am
The New York Commission on Judicial Conduct admonished a Judge of the New York City Civil Court and an Acting Justice of the Supreme Court, 12th Judicial District, Bronx County The Formal Written Complaint alleged that in August 2015 after... [read post]
21 Jul 2023, 12:16 pm
The IPKat is pleased to host the following guest post by Katfriend Alessandro Cerri regarding the European Commission (EC)’s recent strategy communication in respect of Web 4.0 and virtual worlds. [read post]
28 Dec 2015, 9:33 am
Lee illegally engaged in a practice known in the insurance industry as an “advance commission fraud. [read post]
24 May 2024, 4:40 am
(LinkedIn.)Lillian Rivera has worked for the Hollywood Commission for the last two years and, most recently, was the Director of Education and Evaluation. [read post]
7 Jan 2022, 9:03 pm
In recent years, the Federal Trade Commission (FTC) has attempted to rein in the number and impact of hospital-physician mergers. [read post]
4 Jan 2007, 8:46 am
The insurance industry, along with a chorus of sympathetic academics, has argued that these conflicts of interest can be adequately addressed by requiring that intermediaries disclose their receipt of contingent commissions to customers. [read post]
