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13 Jun 2016, 10:53 am by Mark Astarita
 An SEC investigation found that while School Business Consulting Inc. was advising the school districts about their hiring process for financial professionals, it was simultaneously retained by Keygent LLC, which was seeking the municipal advisory business of the same school districts. [read post]
26 May 2016, 12:05 pm by Cynthia Marcotte Stamer
Health plans and health insurers, health care providers, healthcare clearinghouses (Covered Entities) and their business associates should verify that their copying charges and other policies and practices for responding to requests of individuals for copies and other access to protected health information (PHI) comply with the Privacy and Security Rules (Privacy Rule) of the Health Insurance Portability & Accountability Act of 1996 (HIPAA) as construed in a new Frequently Asked Question (FAQ… [read post]
16 May 2016, 1:30 am by Jani Ihalainen
As the marks were registered for several different classes they encompassed a wide array of services, including consultation, advice and analysis in relation to financial services (with plain financial services not being offered by Malouf). [read post]
9 May 2016, 4:00 am by Administrator
This week the randomly selected blogs are 1. [read post]
4 May 2016, 4:00 am by Administrator
That selective approach does not appear to be transparent. [read post]
3 May 2016, 10:03 am by Steven Koprince
 The competitor stated that EKCG was a joint venture between Espire Services, LLC and Knowledge Consulting Group, Inc. [read post]
3 May 2016, 9:46 am by D. Daxton White
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined MetLife Securities, Inc. [read post]
27 Apr 2016, 7:52 am by Tim Sitzmann
A trademark attorney can also equip you with some knowledge in how to select a new or modified name that carries less risk. [read post]
21 Apr 2016, 10:07 am by Cynthia Marcotte Stamer
  In the case of employer sponsored plans subject to the Employee Retirement Income Security Act of 1974, for instance, the selection and proper oversight of business associates and the management of plan data both are subject to the fiduciary responsibility rules of ERISA. [read post]
21 Apr 2016, 10:07 am by Cynthia Marcotte Stamer
  In the case of employer sponsored plans subject to the Employee Retirement Income Security Act of 1974, for instance, the selection and proper oversight of business associates and the management of plan data both are subject to the fiduciary responsibility rules of ERISA. [read post]
13 Apr 2016, 4:55 pm by Kevin LaCroix
John is the President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement. [read post]
12 Apr 2016, 3:50 pm by Cynthia Marcotte Stamer
” For purposes of the rule, “covered investment advice” generally includes: A recommendation to a plan, plan fiduciary, plan participant and beneficiary and IRA owner for a fee or other compensation, direct or indirect, as to the advisability of buying, holding, selling or exchanging securities or other investment property, including recommendations as to the investment of securities or other property after the securities or other property are rolled over or distributed from a plan… [read post]
12 Apr 2016, 3:50 pm by Cynthia Marcotte Stamer
” For purposes of the rule, “covered investment advice” generally includes: A recommendation to a plan, plan fiduciary, plan participant and beneficiary and IRA owner for a fee or other compensation, direct or indirect, as to the advisability of buying, holding, selling or exchanging securities or other investment property, including recommendations as to the investment of securities or other property after the securities or other property are rolled over or distributed from a plan… [read post]
12 Apr 2016, 10:45 am by Kelly Hyman
The Federal Judge assigned to the copyright lawsuit Google Inc. against Oracle Corporation had taken a traditional approach in jury selection. [read post]