Search for: "Financial Industry Regulatory Authority"
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18 Jan 2012, 4:17 pm
These records are specifically protected by the Right to Financial Privacy Act and the plaintiffs seek an injunction requiring compliance with its terms as well as financial compensation. [read post]
25 Mar 2024, 6:38 am
Due to the widespread use of the Change Healthcare tools and systems as a financial clearinghouse for connecting pharmacy benefit managers, health care providers, and other key plays and health plans throughout the health care and health benefits industry, the attack has and continues to disrupt key billing, care-authorization, payment and other transactions between health care payers and pharmacies, physicians and other health care providers and health care… [read post]
1 Aug 2023, 6:06 am
According to the Financial Regulatory Authority (FINRA), investors should look for the typical mistakes, such as poor grammar, misspellings, odd or awkward phrasings, or misuse of investor terminology. [read post]
29 Jun 2017, 6:47 am
In summary the FCA found that: evidence suggests that there is weak price competition in a number of areas of the asset management industry. [read post]
28 Jul 2015, 1:34 pm
The Court concluded its opinion by stating that, “Judicial review of administrative action is the norm in our legal system, and nothing in Title VII withdraws the courts’ authority to determine whether the EEOC has fulfilled its duty to attempt conciliation of claims”. [read post]
31 May 2014, 9:07 am
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
20 Jan 2014, 2:23 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
16 Apr 2018, 4:48 pm
Criminal authorities separately charged and arrested both defendants. [read post]
3 May 2013, 8:17 am
She also is a widely published author and highly regarded speaker on these matters. [read post]
31 Jan 2011, 11:58 pm
What is the role of public authorities (e.g. [read post]
9 Jul 2020, 3:35 pm
Here is the authors’ article. [read post]
9 Apr 2024, 1:21 pm
Many of these criteria overlap with pre-existing regulatory reporting requirements. [read post]
12 Apr 2012, 7:37 am
So too have the Financial Industry Regulatory Authority (FINRA) and the National Association of Securities Dealers (NASD) before it. [read post]
30 Jan 2020, 6:16 am
Edward Matthes by FINRA Prior to his bar by the Wisconsin State regulator, Edward Matthes was also barred by the Financial Industry Regulatory Authority (FINRA). [read post]
11 Apr 2019, 12:14 pm
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve such disputes. [read post]
23 Aug 2010, 7:44 pm
" As an added bonus, Dodd-Frank added to the house of horrors the dreaded Consumer Financial Protection Bureau. [read post]
15 Oct 2023, 9:03 pm
Congress did so even though the Financial Industry Regulatory Authority (FINRA) already had been making some disclosures with regard to short sale transactions. [read post]
15 Nov 2022, 9:23 am
To learn more about the White Law Group’s claims please see: The White Law Group Files a Lawsuit against Arete Wealth Involving GWG Holdings Brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment, prior to making recommendations to an individual investor. [read post]
21 Apr 2020, 9:57 am
The Financial Industry Regulatory Authority (“FINRA”) also stated that it would take the same approach in its examinations of broker-dealers and their associated persons for compliance with Reg BI. [read post]
3 May 2010, 12:20 pm
This conference will offer insight into the economy, regulatory perspectives, challenges of managing a tsunami of default loans, tricky asset valuations, creative workout and exit strategies, the navigation of the internal reporting process, and the hiring of the right professionals who service the industry. [read post]
