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29 Sep 2014, 8:55 am
Telecommunications and broadcast reform may garner limited political benefit, but the future success of the industries depends on it. [read post]
29 Sep 2014, 8:44 am
Telecommunications and broadcast reform may garner limited political benefit, but the future success of the industries depends on it. [read post]
29 Sep 2014, 7:00 am
As summarized above, combined commercial and noncommercial speech that “communicates information, expresses opinion, recites grievances, protests claimed abuses, or solicits financial support on behalf of a movement whose existence and objectives are matters of public concern, [] is not purely commercial” and is afforded full First Amendment protection. [15] In City of New York v. [read post]
28 Sep 2014, 5:43 am
” However, First Allied has had its share of regulatory violations in the past. [read post]
27 Sep 2014, 8:10 am
For the TTP see, "The Trans-Pacific Partnership: Japan, China, the U.S. and the Emerging Shape of a New World Trade Regulatory Order". [read post]
26 Sep 2014, 6:58 am
The Financial Industry Regulatory Authority (FINRA) also fined LPL for multiple email failures in connection with the non-traded REITS. [read post]
25 Sep 2014, 5:45 pm
I call for this reset to avoid a trade war in financial markets akin to that which worsened the Great Depression,” said the commissioner in remarks prepared for delivery to the Burgenstock Conference in Switzerland.Recently, the CFTC largely beat a court challenge to its cross-border guidance by industry groups, though the court warned the CFTC to be ready to defend the guidance if the agency ever uses it in an enforcement action or other lawsuit.Market fragmentation. [read post]
25 Sep 2014, 1:03 pm
The report indicates that the Financial Industry Regulatory Authority (FINRA) issue a “global fine” when attempting to settle long running problems within a brokerage firm. [read post]
25 Sep 2014, 6:18 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker James Moniz (Moniz) concerning allegations that while registered with Signator Investors, Inc. [read post]
25 Sep 2014, 5:12 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ... [read post]
24 Sep 2014, 9:13 am
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... [read post]
23 Sep 2014, 12:24 pm
The Financial Industry Regulatory Authority (FINRA) prohibits selling away. [read post]
23 Sep 2014, 9:16 am
The Financial Industry Regulatory Authority (FINRA) has been inundated with a plethora of claims in connection with the closed-end UBS Puerto Rico Bond Funds. [read post]
22 Sep 2014, 10:03 am
For 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, Kenneth W. [read post]
22 Sep 2014, 7:19 am
According to broker Ismail Elmas’ (Elmas) Financial Industry Regulatory Authority (FINRA) BrokerCheck records the representative was recently discharged from CUSO Financial Services, LP (CUSO Financial) concerning allegations that the broker “converted client funds for personal use as well as participated in an unauthorized outside business activity involving investments without the firm approval…” Previously Elmas was… [read post]
21 Sep 2014, 9:15 am
"Affiliated business arrangements" that are disclosed to consumers and follow the regulatory rules are permitted under the law. [read post]
21 Sep 2014, 9:14 am
., called the FDA’s warning a “regulatory taking. [read post]
20 Sep 2014, 1:06 pm
First it introduced the student to the problem of democratic accountability for chains of delegated law making authority. [read post]
19 Sep 2014, 5:22 am
John's School of Law, and a poet and author of literary prose and essays. [read post]
19 Sep 2014, 5:09 am
Consider this recent arbitration dispute brought by an employee who was apparently given misinformation about the settlement of shares involved in a reverse split.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2014, registered representative Claimant Palacios, pr... [read post]
