Search for: "Financial Industry Regulatory Authority"
Results 8641 - 8660
of 11,239
Sort by Relevance
|
Sort by Date
2 Feb 2013, 2:02 pm
The Promoting and Regulating Fee-Based Advice on Financial Instruments Act represents an additional building block in the new regulatory framework for financial markets and strengthens the rights of investors. [read post]
1 Feb 2013, 10:23 am
The Financial Industry Regulatory Authority warned broker-dealers back in 2010 that reverse convertibles aren’t suitable for most individuals, and that brokers should only offer these investments to a very select group of investors and only in conjunction with full and fair disclosure. [read post]
31 Jan 2013, 4:26 am
In a Financial Industry Regulatory Authority (“FINRA”) ArbitrationStatement of Claim filed in January 2012, Claimants sought to recover on promissory notes dated July 25, 2008, November 17, 2009, and September 9, 2010, which were executed by Respondent Towne during his employment. [read post]
30 Jan 2013, 7:23 am
Making sure nontraded REITS are sold to appropriate clients and ensuring that clients are not provided misleading information regarding them have been concerns of the Financial Industry Regulatory Authority. [read post]
29 Jan 2013, 6:18 pm
“CIRM should establish a single Scientific Advisory Board comprising individuals with expertise in the scientific, clinical, ethical, industry, and regulatory aspects of stem cell biology and cell-based therapies. [read post]
28 Jan 2013, 1:13 pm
Stamer also regularly works with OCR and other agencies, publishes and speaks extensively on medical and other privacy and data security, health and managed care industry regulatory, staffing and human resources, compensation and benefits, technology, public policy, reimbursement and other operations and risk management concerns. [read post]
28 Jan 2013, 10:31 am
Stamer also regularly works with OCR and other agencies, publishes and speaks extensively on medical and other privacy and data security, health and managed care industry regulatory, staffing and human resources, compensation and benefits, technology, public policy, reimbursement and other operations and risk management concerns. [read post]
28 Jan 2013, 6:58 am
But in 2012, access to financial information and any personal data in the records became much more heavily restricted. [read post]
28 Jan 2013, 6:15 am
The North American Securities Administrators Association in 2009 included leveraged exchange-traded funds among its top 10 investor traps, while the Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc. at the same time issued alerts to investors warning about the risks of such funds. [read post]
27 Jan 2013, 8:45 am
For help monitoring or responding to these evolving rules, contact the author of this update, Cynthia Marcotte Stamer. [read post]
26 Jan 2013, 5:46 pm
For many years, Rio de Janeiro was remembered by its public safety problems, made worse by the absence of dialogue between authorities and lack of planning. [read post]
25 Jan 2013, 8:50 am
Stamer also regularly works with OCR and other agencies, publishes and speaks extensively on medical and other privacy and data security, health and managed care industry regulatory, staffing and human resources, compensation and benefits, technology, public policy, reimbursement and other operations and risk management concerns. [read post]
24 Jan 2013, 6:11 am
Saionton has recently spoken on the legal and regulatory considerations of doing business in the UK/Europe-India corridor at the International Trade Forum and UKTI. [read post]
24 Jan 2013, 3:10 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claimfiled in August 2011, Claimant Ameriprise sought t... [read post]
23 Jan 2013, 6:33 pm
Registration fees are $150.00 for federal government employees and $495.00 for representatives from the financial services industry and self regulatory organizations. [read post]
22 Jan 2013, 4:35 am
It also gives Treasury broad authority to establish verification and due-diligence procedures with respect to a foreign financial institution’s identification of any U.S. accounts.Chapter 4 also provides for withholding taxes as a means to enforce new reporting requirements on specified foreign accounts owned by specified U.S.persons or by U.S. [read post]
21 Jan 2013, 9:07 am
” In his first term, President Obama acted as a “Legislative President,” achieving a number of stunning successes in the halls of Congress, including a massive stimulus package, gigantic health care overhaul, sweeping financial industry regulatory reform, new food safety legislation, and an end to the ban on gays in the military. [read post]
17 Jan 2013, 4:12 pm
For Help With Compliance, Risk Management, Investigations, Policy Updates Or Other Needs If you need help with HIPAA and other health and health plan related regulatory policy or enforcement developments, or to review or respond to these or other human resources, employee benefit, or other compliance, risk management, enforcement or management concerns, the author of this update, attorney Cynthia Marcotte Stamer may be able to help. [read post]
17 Jan 2013, 5:50 am
Barred Stockbroker Barred Again For Wire Transfers From Elderly Client Talk about a spoiler alert — consider this ominous introductory statement in a Financial Industry Regulatory Authority (“FINRA”) disciplinary decision: This is a serious case of a broker in severe financial difficulty who engaged in a scheme to convert customer funds in order to pay his personal expenses and to conceal this misconduct from his firm. [read post]
16 Jan 2013, 12:36 am
Consumer Financial Protection Bureau (CFPB). [read post]
