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17 Jan 2018, 9:35 am
We survey some of the recent regulatory developments in this rapidly evolving field. [read post]
28 Jan 2010, 6:23 am
On Tuesday, the Commonwealth of Massachusetts filed a regulatory action against Securities America, Inc., accusing the brokerage firm of committing securities fraud on a massive scale. [read post]
15 Feb 2012, 3:27 pm
The Securities and Exchange Commission has started to take a broad look at the private equity industry, which until now hasn’t been subjected to much regulatory scrutiny. [read post]
8 Feb 2008, 8:42 am
Girgenti shares his views on the subprime mortgage debacle -- and, in particular, where the situation is headed from a regulatory and prosecutorial perspective. [read post]
11 Aug 2014, 10:01 pm
Supreme Court review of the appeals court decision involving the Zinniker and/or the GrassWay plaintiffs. [read post]
17 Jan 2018, 9:35 am
We survey some of the recent regulatory developments in this rapidly evolving field. [read post]
13 Oct 2017, 5:42 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Patrick Hudson (Hudson), in June 2015, was terminated by his then employer RBC Capital Markets (RBC). [read post]
20 May 2019, 6:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Hobby’s customer complaints allege that Hobby recommended unsuitable securities recommendations among other allegations of misconduct in the handling of customer accounts. [read post]
26 Jan 2023, 12:55 pm
He often advises businesses and utilities (for profit, non-profit and cooperative) on organizational, human resources, and transactional matters and drafts and reviews commercial contracts. [read post]
22 Jul 2011, 4:14 pm
Yesterday, the Federal Energy Regulatory Commission ("FERC" or "the Commission") issued Order No. 1000 in Docket No. [read post]
16 Jan 2018, 1:55 pm
CDC, public health and regulatory officials in several states, and the U.S. [read post]
18 Apr 2019, 1:02 pm
The plaintiffs also challenge bar programs that they claim exceed the bar’s “core regulatory functions. [read post]
4 Oct 2020, 12:46 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Cline’s customer complaints involves the sale of private placements. [read post]
23 Dec 2020, 5:32 am
The EU’s cybersecurity strategy puts forward concrete proposals for regulatory, investment and policy initiatives in the following three areas: 1. [read post]
25 Mar 2009, 9:03 am
6) Account Discrepancies: Make sure to review your account statements thoroughly. [read post]
28 Apr 2015, 1:09 pm
Tony Alexis said that the enforcement lawyers don’t draft or review press releases. [read post]
5 Jan 2012, 9:27 am
Summary of GINA’s Statutory and Regulatory Requirements President Bush signed GINA into law on May 21, 2008 (7 PVLR 778, 5/26/08), and it went into effect on Nov. 21, 2009. [read post]
11 Oct 2010, 3:06 pm
The following is a summary review of articles from all over the nation concerning environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
22 Jan 2023, 9:01 pm
According to the Fall 2022 Unified Agenda of Regulatory and Deregulatory Actions released by the Office of Management and Budget’s Office of Information and Regulatory Affairs in early January 2023 (the “Fall 2022 Unified Agenda”),[1] the SEC is expected to take final action on the climate-related disclosure rule in Spring 2023. [read post]
26 Jul 2022, 6:32 am
The process takes place in a broader regulatory context which is itself nested in a political context of competing interests. [read post]
