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16 Nov 2016, 8:20 am
This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
24 Jul 2011, 8:14 am
What makes this mess really intriguing is unlike many other industry sectors, we may not need an executive level person to become the whistleblower. [read post]
25 May 2009, 7:15 pm
For the past year or so, Georgia has been a hot bed of failed banks. [read post]
26 Apr 2013, 6:03 am
According to an article in the American Banker, the new office is “is meant to ward off long-standing criticism that the agency is biased against banks and its actions are opaque to the industry it helps to oversee” and industry’s initial reaction has been positive. [read post]
11 Aug 2022, 6:18 am
He tells Jane and the audience about cultural attitudes towards whistleblowers in Australia, whistleblower protections in the country, and how he changed the banking industry. [read post]
20 Jun 2012, 7:37 am
Dimon, was simultaneously lobbying for less regulation and oversight of the banking industry. [read post]
20 Jan 2011, 7:57 am
Codified as Section 1075 of Dodd-Frank, the interchange fee has been the subject of concern of leading Senators on the Banking Committee, but is strongly defended by its author, Senator Dick Durbin.Under current SEC regulations, whenever a bank has 500 or more shareholders it must register with the SEC and become subject to a hefty and expensive SEC oversight regime on top of the oversight conducted by federal bank regulators. [read post]
5 Jun 2012, 7:03 am
Now, we do know that the banking industry has been caught red-handed over the last handful of years engaging in fraudulent foreclosures through robo-signing techniques and failure to properly track which homes they actually owned. [read post]
8 Dec 2008, 9:59 pm
Lets face it, the banks and financial institutions are in horrendous shape, the US auto makers have driven themselves straight into the ground. [read post]
21 Feb 2011, 12:12 am
(for Bank of Montreal). [read post]
19 Aug 2018, 12:20 pm
Some fear the day when the industry is overrun by major corporations. [read post]
27 Feb 2007, 9:15 am
("Prosper") are the industry leaders. [read post]
10 Jan 2009, 7:18 am
The bulk of any failures, industry insiders said, will be among metro Atlanta banks, which led the charge in new bank creation earlier this decade... [read post]
11 Sep 2019, 11:45 am
Dennis, University of Virginia - McIntire School of Commerce, Kristopher Gerardi, Federal Reserve Bank of Atlanta, and Carola Schenone, University of Virginia - McIntire School argue Common Ownership Does Not Have Anti-Competitive Effects in the Airline Industry. [read post]
3 Nov 2014, 12:00 am
Jason Allen, Bank of Canada, Robert Clark, HEC Montreal and Jean-Francois Houde, Wharton discuss The Effect of Mergers in Search Markets: Evidence from the Canadian Mortgage Industry. [read post]
16 Aug 2013, 12:00 am
Daniel Sokol Jason Allen, Bank of Canada, Robert Clark, HEC Montreal and Jean-Francois Houde, Wharton and NBER discuss The Effect of Mergers in Search Market: Evidence from the Canadian Mortgage Industry. [read post]
6 Jan 2020, 5:00 am
Common Ownership Does Not Have Anti-Competitive Effects in the Airline Industry By: Dennis, Patrick (University of Virginia); Gerardi, Kristopher S. [read post]
20 May 2024, 10:00 pm
For an in-depth analysis of the ongoing challenges confronting the organization and the banking industry as a whole, refer to this Law360 article. [read post]
31 Jul 2016, 11:06 am
In June, the Senate Appropriations Committee voted 16-to-14 to give banks express permission to extend financial services to the marijuana industry. [read post]
20 Dec 2017, 9:41 am
The Report states that the Financial and Banking Information Infrastructure Committee (FBIIC) should continue to promote processes to strengthen response and recovery efforts while working closely with the Department of Homeland Security (DHS), law enforcement, and industry partners to carry out regular cybersecurity exercises. [read post]
