Search for: "Prudential Securities"
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31 May 2018, 8:43 am
ESMA has updated CSD Question 6 – Prudential requirements – Operational risks. [read post]
30 Dec 2020, 9:25 am
Pruco Securities to pay $18 Million for Overcharges The SEC Sanctions Pruco Securities for Alleged Breach of Fiduciary Duty The Securities and Exchange Commission this week reportedly charged Pruco Securities, the broker/dealer and RIA owned by Prudential, with violations in the firm’s wrap fee programs. [read post]
23 May 2019, 2:00 pm
(CRD#: 8174), and Prudential Securities Incorporated (CRD#: 7471). [read post]
22 Oct 2011, 5:22 am
Disability Blog & Cases: Prudential Insurance Company of America recently sued three times under ERISA for denying disability benefits Three different lawsuits were recently filed under the Employee Retirement Income Security Act (ERISA) against the Prudential Insurance Company of America in Federal Courts by attorneys in Kansas, Oklahoma, and Pennsylvania for failing to pay disability benefits. [read post]
25 May 2011, 4:05 am
Under the terms of the policy, if the claimant is approved for Social Security disability income, Prudential can subtract the amount the claimant receives as SSDI from the amount Prudential pays in disability benefit payments to the claimant. [read post]
28 Feb 2018, 9:55 am
Hartman’s BrokerCheck report with the Financial Industry Regulatory Authority (FINRA), Barry Hartman was previously registered with The Prudential Insurance Company of America in Newark, New Jersey from June 1985 until December 1993, Pruco Securities Corp in Newark from June 1985 until November 2000, Raymond James in St. [read post]
10 Mar 2008, 9:28 pm
The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments Commission (ASIC) have released a new online breach reporting system for dual-regulated institutions. [read post]
20 Jun 2011, 7:39 am
Consistent with these principles, the trade associations asked that the public have the opportunity to review all of the capital and margin standards for uncleared swaps required by the Dodd-Frank Act before being required to submit comments on the Prudential Regulator proposal.To date, both the prudential regulators and the CFTC have proposed rules that would establish minimum capital and margin requirements applicable to non-cleared swaps and security-based swaps. [read post]
11 Oct 2007, 7:23 am
Those losses also involved investments by the bond funds in mortgage-backed securities and derivatives, among other investments. [read post]
21 Nov 2017, 8:39 am
The update provides detailed answers regarding: relevant authorities; conduct of business rules; protection of securities; and prudential requirements. [read post]
31 Jan 2016, 6:06 am
Securities and Exchange Commission. [read post]
5 Apr 2009, 6:49 am
The Australian Prudential Regulation Authority (APRA) has released for public consultation draft guidance on managing conflicts of interest for APRA-supervised superannuation trustees (known as Registrable Superannuation Entity (RSE licensees).Download discussion paper and draft Prudential Practice Guide 521 Conflicts of interest (SPG 521) here. [read post]
9 Jul 2020, 8:55 am
You work for a company that has an insured long-term disability (“LTD”) plan that is governed by the Employee Retirement Income Security Act of 1974 (“ERISA”). [read post]
7 Feb 2018, 9:17 am
The European Securities and Markets Authority (ESMA) has updated its Questions & Answers (Q&As) regarding the implementation of the Central Securities Depository Regulation. [read post]
1 Feb 2012, 11:08 am
He was especially surprised as he had been approved for Social Security Disability Insurance, which can be more difficult to obtain than private or employee-benefit disability. [read post]
27 Nov 2007, 4:46 pm
The amendments to the prudential standards result from recent changes to the Australian Securities Exchange (ASX) Corporate Governance Council's Corporate Governance Principles and Recommendations. [read post]
7 Apr 2011, 6:36 am
The $430 million deal is the latest step in a wide-ranging expansion by the securities firm. [read post]
21 Oct 2017, 5:44 pm
On January 21, 2016, Prudential settled the life portion by paying $343,240.50 into a Prudential Alliance Account in Sherry’s name. [read post]
9 Jul 2019, 11:59 am
Jan De Spiegeleer and Wim Schoutens have posted Sustainable Capital Instruments and Their Role in Prudential Policy: Reverse Green Bonds on SSRN with the following abstract: In this paper we introduce a new variant on the more traditional green climate... [read post]
20 Aug 2008, 3:55 pm
Our resources can help them dispel these myths and put them on the right path to securing their retirement," added Mako. [read post]
