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13 Feb 2023, 11:08 am
., burial vs. cremation, where services are to take place, etc.). [read post]
13 Feb 2023, 10:27 am
The Financial Industry Regulatory Authority (FINRA), overseen by the SEC, provides regulatory services to the financial industry by licensing and regulating broker-dealers. [read post]
13 Feb 2023, 9:09 am
The civil penalty could be “not more than the greater of” (A) any revenue earned from the sale by such person of any drug product, referenced in a covered application that was the subject of a covered petition or a series of covered petitions that is a sham, during the period in which the covered petition or series of covered petitions was under review by the Secretary of Health and Human Services; or (B) $50,000 for each calendar day that each covered petition that is a sham… [read post]
13 Feb 2023, 8:27 am
However, these healthcare costs are often just the tip of the iceberg with lost wages, replacement services, and other losses adding up to an immense financial burden. [read post]
13 Feb 2023, 7:28 am
Nelson, J.D.The Republican leaders of the House Financial Services Committee’s Subcommittee on Capital Markets held two hearings on a set of discussion drafts aimed at promoting a package of capital formation bills. [read post]
13 Feb 2023, 7:20 am
Fortune Financial Services was censured and ordered to pay $612, 172.66 plus in restitution to investors, according the letter. [read post]
13 Feb 2023, 6:11 am
Congress to shield American service members and citizens from the ICC’s jurisdiction. [read post]
13 Feb 2023, 5:59 am
[ix] While healthcare services are expected to remain a key investment focus for many private equity firms, the risk of False Claims Act (“FCA”) exposure associated with such investments has also grown. [read post]
13 Feb 2023, 5:16 am
The reporting language was based on the CEAWG findings that one in every 21,000 service members (or approximately [read post]
13 Feb 2023, 3:30 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6888/securities-industry-commentator/ SEC Press Release Fails To Disclose that OCC Settled Charges Without Admitting or Denying Findings (BrokeAndBroker.com Blog) Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert /… [read post]
13 Feb 2023, 3:30 am
Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert / New York State Department of Financial Services) DOJ RELEASES SEC RELEASES SEC Award Almost $3 Million Whistleblower Award to Claimant Order Determining Whistleblower Award Claim CFTC RELEASES FINRA RELEASES = = =2/13/2023 ... [read post]
13 Feb 2023, 3:30 am
Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert / New York State Department of Financial Services) New York Securities Fraud Ruling Threatens US White-Collar Cases (Bloomberg Law by Ben Penn) DOJ RELEASES Idaho I.T. [read post]
13 Feb 2023, 3:30 am
Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert / New York State Department of Financial Services) DOJ RELEASES SEC RELEASES SEC Obtains Court Order for Partial Asset Freeze and Other Temporary Relief in Fraud Action Against Microcap Public Company and CEO (SEC Release) Kraken to Discontinue Unregistered Offer… [read post]
13 Feb 2023, 3:30 am
Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert / New York State Department of Financial Services) New York Securities Fraud Ruling Threatens US White-Collar Cases (Bloomberg Law by Ben Penn) DOJ RELEASES Former Beulah Bank President Sentenced to Two Counts of Bank Fraud (DOJ Release) Former Bond Trader And… [read post]
12 Feb 2023, 10:00 pm
The Financial Services Regulatory Authority (FSRA) of the Abu Dhabi Global Market (ADGM) issued a consultation paper on December 12, 2022, in connection with its proposed introduction of a specific regulatory framework, the “Private Credit Fund Framework,” that would enable ADGM funds and their fund managers to originate and invest in private credit. [read post]
12 Feb 2023, 10:00 pm
The Financial Services Regulatory Authority (FSRA) of the Abu Dhabi Global Market (ADGM) issued a consultation paper on December 12, 2022, in connection with its proposed introduction of a specific regulatory framework, the “Private Credit Fund Framework,” that would enable ADGM funds and their fund managers to originate and invest in private credit. [read post]
12 Feb 2023, 10:00 pm
The Financial Services Regulatory Authority (FSRA) of the Abu Dhabi Global Market (ADGM) issued a consultation paper on December 12, 2022, in connection with its proposed introduction of a specific regulatory framework, the “Private Credit Fund Framework,” that would enable ADGM funds and their fund managers to originate and invest in private credit. [read post]
12 Feb 2023, 10:00 pm
The Financial Services Regulatory Authority (FSRA) of the Abu Dhabi Global Market (ADGM) issued a consultation paper on December 12, 2022, in connection with its proposed introduction of a specific regulatory framework, the “Private Credit Fund Framework,” that would enable ADGM funds and their fund managers to originate and invest in private credit. [read post]
12 Feb 2023, 10:00 pm
The Financial Services Regulatory Authority (FSRA) of the Abu Dhabi Global Market (ADGM) issued a consultation paper on December 12, 2022, in connection with its proposed introduction of a specific regulatory framework, the “Private Credit Fund Framework,” that would enable ADGM funds and their fund managers to originate and invest in private credit. [read post]
12 Feb 2023, 10:00 pm
The Financial Services Regulatory Authority (FSRA) of the Abu Dhabi Global Market (ADGM) issued a consultation paper on December 12, 2022, in connection with its proposed introduction of a specific regulatory framework, the “Private Credit Fund Framework,” that would enable ADGM funds and their fund managers to originate and invest in private credit. [read post]
