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6 Jan 2020, 6:30 am
This year, we can expect to hear more from both UK and EU authorities about the impact that Open Banking is having in the financial services sector and how this initiative could be expanded into other sectors, particularly those in the digital market. [read post]
4 Jan 2017, 3:55 pm
Financial Reports. [read post]
22 Sep 2013, 3:46 pm
Disqualifying events include criminal convictions in connection with sales of securities, certain SEC civil and administrative actions and certain other orders from financial service industry regulatory authorities. [read post]
13 Sep 2018, 9:30 pm
EPA proposed modifications to the 2016 New Source Performance Standards for the oil and gas industry. [read post]
6 Dec 2010, 8:51 am
The proposed rules also include expanded disclosure regarding advisers and their business practices that may present significant conflicts of interest (such as the use of affiliated brokers, soft dollar arrangements, compensation for client referrals and financial industry affiliations), due to participation or interest in client transactions. [read post]
20 Oct 2012, 3:32 pm
So, build a competent local team and be creative in pealing the proverbial onion of potential problematic issues.By Juliette Passer, Esq. 2012About UsOur company provides legal and financial consulting to both US and foreign clients involved in many industries. [read post]
20 Feb 2020, 10:44 am
” Federal securities laws make it unlawful for a person to “effect a transaction in securities” or “attempt to induce the purchase or sale of, any securities” unless that person is appropriately registered with the Financial Industry Regulatory Authority (FINRA), a regulatory arm of the SEC in charge of, among other things, licensing broker-dealers. [read post]
9 Jan 2012, 2:54 pm
The Financial Industry Regulatory Authority (FINRA) has echoed the January Alert in recent releases, such as Regulatory Notice 11-39 from August 2011. [read post]
20 May 2010, 7:00 am
There are, however, some lenders that will only represent that they own the note and have authorization to sell the note. [read post]
6 Jan 2015, 4:14 am
The plaintiff alleges that “in violation of their express promise to do so, and contrary to reasonable expectations,” the company and its subsidiaries “failed to take reasonable steps to maintain their customers’ personal and financial information in a secure manner. [read post]
6 Dec 2023, 3:13 pm
For information about republication, please contact the author directly. [read post]
27 Mar 2023, 12:03 pm
Inhofe National Defense Authorization Act for Fiscal Year 2023 (NDAA FY 2023) (Public Law 117-263) and section 5502 of the National Defense Authorization Act for Fiscal Year 2022 (NDAA FY 2022) (Public Law 117-81). [read post]
6 Jan 2024, 7:48 am
This period was marked by significant mergers, acquisitions, and investments, reflecting the industry’s dynamic nature. [read post]
22 Mar 2023, 5:16 am
Experience across the regulatory landscape offers some cautionary lessons. [read post]
19 Mar 2020, 10:35 am
Moore (the “Moore Declaration”) (Doc. 4), the vice president of four of the Debtors, and the president, chief executive officer, and chief financial officer of Murray Energy Holdings Co. [read post]
23 Oct 2020, 3:00 am
The panel found Congress has not passed a law expressly authorizing it to sue to enforce its subpoenas. [read post]
4 May 2024, 8:31 pm
About the Author Cynthia Marcotte Stamer is a practicing attorney board certified in labor and employment law by the Texas Board of Legal Specialization and management consultant, author, public policy advocate and lecturer widely known for 35 plus years of cybersecurity, workforce, technology and other compliance, risk management and mitigation, incident and other investigations,regulatory and government affairs, and other strategic, operational,… [read post]
8 Dec 2016, 1:45 pm
Puzder is a frequent author on economic and legal issues in periodicals such as Human Events, Politico, and the Orange County Register. [read post]
6 Nov 2013, 9:54 pm
Brokers and portals will be regulated by the SEC and the Financial Industry Regulatory Authority (FINRA), according to POLITICO. [read post]
28 Mar 2024, 9:05 pm
Examples offered by DOJ included a company paying bribes in exchange for regulatory approvals and “doctoring the books” to conceal those, as well as a chief financial officer forging loan documents. [read post]
