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5 Aug 2007, 7:30 am
There are rules for the securities industry and other rules for the rest of us. [read post]
14 May 2007, 7:13 am
The participants represented a broad range of industries with an average company size of 25,000 employees and over $13 billion in revenue. [read post]
With the goal of improving overall cybersecurity posture, this Amendment was intended to incentivize HIPAA-regulated entities to align their practices to industry-accepted frameworks. [read post]
9 Mar 2015, 8:05 pm by John Jascob
Jim simply wanted the best for his company, his colleagues, and his readers. [read post]
29 May 2023, 10:30 pm by Sherica Celine
Federal Government Summer Intern Resource Kit: Data Security & Privacy Get up to speed on the numerous legal regimes, trends, and best practices in data security and privacy, while also acquiring general professional skills and fundamental guidance for working in the federal government sector. [read post]
On August 24, 1998, Enrique Vila entered the securities industry as a General Securities Representative of Merrill Lynch, Pierce, Fenner & Smith. [read post]
24 Dec 2020, 3:37 am
As it buys up medical practices, private equity is popularizing a favored Wall Street cost-cutting tactic -- and stripping patients of rights(Bloomberg by Heather Perlberg)SEC Division of Trading and Markets' No-Action Letter: SIFMA, Regulation Best InterestFINRA Bars Rep for 155 Personal Car RidesIn the Matter of Yousef Abbasi, Respondent (FINRA AWC)... [read post]
31 Oct 2013, 8:04 am by Adam Gana
Depending on the results of FINRA’s action, Holzer could be fined, suspended, or barred entirely from the securities industry. [read post]
7 Nov 2007, 4:56 pm
SEC Chairman Christopher called the initiative an opportunity for regulators and broker-dealers to learn from each other the best ways to ensure that security laws are abided by. [read post]
7 Aug 2024, 6:54 am by Malecki Law Team
If you suspect that your financial advisor did not properly keep your liquidity needs or best interest in mind, you should consult with a securities law expert, like the attorneys at Malecki Law in New York. [read post]
4 Sep 2022, 2:53 pm by Rob Robinson
  Other regulations govern how entities across industries manage personally identifiable information or information that’s reasonably linkable to an individual. [read post]
25 Oct 2023, 5:00 am by Jean O'Grady
Security and Strategic Partners Lexis+ AI offers industry-leading data security and attention to privacy. [read post]
16 Nov 2023, 6:28 am by Banks Law Office
Recently, Traderfield Securities Inc. and its principal, Mario Divita, found themselves at the center of regulatory scrutiny by the Financial Industry Regulatory Authority (FINRA). [read post]
7 Aug 2014, 1:41 pm
Weight limits are enforced to reduce the possibility of weight shifts that could cause a truck to lose control or rollover.The rules that affect the trucking industry and keep roadways safer by enforcing tie-down procedures, weight limits for cargo loads and guidelines and special permits for hazardous cargo are based on the North American Cargo Securement Standard Model Regulations.These regulations were established after a multi-year research program that included data on… [read post]
2 Feb 2015, 8:57 am by Lisa Baird
This is especially relevant in the life sciences industry, to which the IoT may bring potentially revolutionary advances. [read post]
22 Mar 2024, 9:07 am by The White Law Group
  Unauthorized Transactions   Unauthorized trading can be a serious violation of the broker’s duty to act in your best interests. [read post]
11 Apr 2008, 12:53 pm
The researcher suggests that the best defense might be a good offense, more effective than installing a better intrusion-detection system. [read post]