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24 Mar 2020, 6:35 am
In March 2019 Janney terminated Cahill stating that he was discharged while under internal review regarding receipt of funds while acting as POA for a client. [read post]
7 Apr 2015, 2:13 pm
This shift in perspective when regulating activities and projects affecting the environment follows a national trend toward providing simplification and reduced regulatory uncertainty. [read post]
28 Feb 2013, 11:57 pm
FDA also reviews its existing initiatives to improve global food safety. [read post]
16 Feb 2015, 9:05 am
This most recent FINRA action is not the first time the regulatory has brought an action concerning issues of how Felt sells securities products to investors. [read post]
20 Jan 2023, 9:38 am
This means that for almost all of the first half of his administration — in which modernizing regulatory review a day-one priority and the ultra-thin margin on the Hill meant executive action was at a premium — OIRA’s top spot was vacant. [read post]
12 Mar 2024, 9:46 am
Below, we review some of the systemic issues that contribute to sexual abuse among healthcare professionals here in Illinois: Lack of Oversight The state of Illinois struggles with a glaring oversight problem. [read post]
1 Jun 2021, 9:43 am
Other conference speakers indicated that any future rulemaking, guidance or regulatory action regarding gamification would be undertaken in conjunction with the U.S. [read post]
2 Oct 2022, 6:54 am
The FCC determined that a review and update of these rules is necessary due to the digital transition, the incentive auction repack, current technology, and changes in Commission practices. [read post]
22 Nov 2011, 11:39 am
Six years with no resolution on this critical issue is unacceptable, emphasized the Senator, and it is time for the Board to exercise its enforcement authority against Chinese audit firms that have not submitted to independent regulatory review. [read post]
29 Jan 2015, 3:17 pm
As regular readers know, last March, the President directed the Secretary of Labor to begin the regulatory process on those regulations. [read post]
27 Oct 2021, 8:07 am
” The self-regulatory organization is encouraging investors to carefully review emails, direct messages and websites for signs of fraud before investing with brokers with whom they do not have a direct connection—particularly when these brokers contact them with unsolicited inquiries. [read post]
3 Sep 2024, 9:25 am
So this is one regulatory date that broadcasters can cross off their calendar for 2024. [read post]
20 Sep 2024, 10:27 am
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
25 Nov 2014, 6:41 am
The CFPB will continue to follow previous standards in reviewing 2013 and earlier HMDA data, which will allow larger reporters an opportunity to comply with the new standards. [read post]
2 Jul 2024, 2:14 pm
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
29 Feb 2024, 8:54 am
Investors can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
25 Aug 2022, 10:59 am
To learn more about the investigation, please see: Kovack Securities – Broker Misconduct, Customer Complaints and Regulatory Actions. [read post]
18 Jan 2019, 11:49 am
The SEC has developed a business continuity plan of its own and has made this plan available for public review on its website. [read post]
28 Jan 2025, 9:50 am
When workplace safety measures intersect with federal regulatory frameworks, determining liability can become challenging for courts. [read post]
7 Feb 2025, 11:51 am
Barred after Allegations of Misappropriation According to the Financial Industry Regulatory Authority (FINRA) Santiago Torres Jr. [read post]
