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21 Dec 2015, 12:17 pm
[vii] This is a welcome codification of a practice long accepted in the securities industry. [read post]
31 Aug 2022, 12:42 pm
Reports $45 Million in “Unpaid Distributions” to Investors In another article published in August, Investment News writes that a settlement between the Financial Industry Regulatory Authority (FINRA) and a barred former broker of David Lerner “highlights the millions of dollars of unpaid distributions . . . owed to investors who bought a proprietary energy fund, Energy 11 L.P., before energy prices collapsed in 2020 amid the Covid-19 pandemic. [read post]
20 Jan 2022, 5:35 pm
Financial Analytics (30.7104). [read post]
8 Aug 2019, 9:05 pm
Regulators from ten states and Puerto Rico launched an investigation of the payroll cash advance industry. [read post]
SinoTech: U.S. Threatens Tariff Hike on Chinese Goods as Tech-Related Trade Issues Remain Unresolved
8 May 2019, 12:12 pm
” It would also appear that the United States has softened its stance on Chinese industrial policies. [read post]
1 Jan 2020, 10:35 am
Health plans and their fiduciaries also may face Department of Labor and other fiduciary claims, while insurers can face licensing and other regulatory consequences. [read post]
10 Mar 2021, 10:58 am
Earlier this year, the Financial Industry Regulatory Authority (“FINRA”) suspended former David Lerner Associates financial advisor, Charles Bonilla, from the securities industry for five months for recommendations of what is believed to be SOAEX and Energy 11. [read post]
26 Jul 2009, 7:41 pm
" Her plan is likely to address the industry's objection that being regulated by two different agencies is too difficult [read post]
8 Feb 2010, 7:58 am
The original investigation into the Division arose from allegations made by employees of another brokerage firm.The Division was also sued by the Securities Industry Association in a claim that the Division overstepped its authority. [read post]
17 May 2013, 11:41 am
Schwab's right to stop clients from bringing coordinated court actions was challenged last year by the Financial Industry Regulatory Authority, the securities industry’s principal regulator. [read post]
25 Mar 2024, 1:07 am
Regarding the attraction of investments, the provisional measure forecasts incentives to relocate industrial plants from other countries in Brazil, offering the right to financial credit as an advantage. [read post]
21 Dec 2022, 9:29 am
The authors thank Jay V. [read post]
24 Aug 2020, 9:05 pm
Do the authorization of telehealth practices and the relaxation of patient privacy rules during the COVID-19 pandemic represent the future of health care regulation? [read post]
25 Feb 2012, 6:31 am
It is regulatory only to a limited extent. [read post]
31 May 2023, 5:35 am
The report suggests that “ the argument about how independent of the industry IPSO really is persists, and focuses on the financial arrangements. [read post]
14 May 2021, 9:36 am
Foreign subsidies consist of a financial contribution by a third country which confers a benefit to an undertaking (“enterprise” in EU jargon) engaging in an economic activity in the internal market and for which the benefit is limited to an individual undertaking or industry or to several undertakings or industries. [read post]
4 Aug 2012, 3:20 pm
The appendix also identifies some of the circumstances under which the PCAOB will transmit detailed reports about a company, in addition to the inspection report itself, to the Commission or other regulatory or law enforcement authorities. [read post]
31 Jan 2023, 7:00 am
Omarova develops this point in the banking context, exploring some of the unintended and, in her view, harmful consequences of financial deregulation. [read post]
11 Apr 2017, 3:01 pm
And yet the societal responsibilities of enterprises share with law the notion of authority and leadership,of accountability and of autonomy embedded within the strictures of the norms that frame responsibility. [read post]
7 Mar 2017, 6:53 pm
Legislative findings and authority. [read post]
