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22 Dec 2023, 11:00 am
Solutions Law Press, Inc. invites you to receive future updates by registering on our Solutions Law Press, Inc. [read post]
22 Dec 2023, 9:33 am
Solutions Law Press, Inc. invites you to receive future updates by registering on our Solutions Law Press, Inc. [read post]
22 Dec 2023, 8:13 am
About Solutions Law Press, Inc. [read post]
22 Dec 2023, 7:39 am
About Solutions Law Press, Inc. [read post]
22 Dec 2023, 6:00 am
Defending against fraud and complying with changing regulatory requirements are imminent challenges, but adopting best practices positions payment service providers to adapt to any regulatory change. [read post]
20 Dec 2023, 2:50 pm
About Solutions Law Press, Inc. [read post]
20 Dec 2023, 11:01 am
FINRA Investigates Keith Baron, Equity Services Advisor for Broker Misconduct According to public records on December 14, 2023, the Financial Industry Regulatory Authority (FINRA) recommended that disciplinary action be brought against financial advisor Keith Baron (CRD#: 3231494) alleging the following rules violations: FINRA Rule 2010 by making material misrepresentations and omissions to investors; FINRA Rules 3270 and 2010 by failing… [read post]
19 Dec 2023, 4:48 pm
On November 22, 2023, the Departments used their statutory authority (Internal Revenue Code Section 9816(c)(9), ERISA Section 716(c)(9), and PHS Act Section 2799A-1(c)(9)) to grant extensions in the following circumstances: Disputing parties may request additional time, beyond the current business day deadline, to respond to the certified IDR entity’s requests for additional information. [read post]
18 Dec 2023, 2:48 pm
We have also developed a checklist to help managers effectively oversee the business and regulatory landscape for the coming year. [read post]
17 Dec 2023, 9:03 pm
The investing public benefits when all industry participants compete on a level playing field. [read post]
15 Dec 2023, 8:55 am
About the Author Reco [read post]
12 Dec 2023, 9:05 pm
(disclosing for itself and its subsidiaries), (ii) once more by CSRD rules (although this time under presumably simplified Article 40a reporting standards), at the level of its Japanese parent, Sony Group Corporation (disclosing on the behalf of the entire group), and (iii) potentially several more times for any entities that are either (a) registered as securities issuers with the SEC (according to available EDGAR data, these are Sony Group Corporation, Sony Corp. of America, Sony… [read post]
12 Dec 2023, 1:05 pm
His broker record indicates that the Financial Industry Regulatory Authority (FINRA) barred Corsaro from working as a broker in February 2022. [read post]
12 Dec 2023, 9:55 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred Komarow from the brokerage industry in June after its investigation into allegations that he “processed ACH instructions for his own account knowing there were insufficient funds, then improperly used credit to place trades, resulting in negative balance. [read post]
8 Dec 2023, 11:11 am
Allegedly Accepted $3 Million Gift from Client According to the Financial Industry Regulatory Authority (FINRA), Joe David Gainer Jr. [read post]
8 Dec 2023, 10:02 am
OCR Quarter 1 2022 Cybersecurity Newsletter; Defending Against Common Cyber-Attacks; AI-Augmented Phishing and the Threat to the Health Sector; HHS 405d Health Industry Cybersecurity Practices on Email Phishing Attacks; Videos on “How the HIPAA Security Rule Can Help Defend Against Cyber-Attacks” in English and Spanish. [read post]
7 Dec 2023, 8:54 pm
Solutions Law Press, Inc. invites you to receive future updates by registering on our Solutions Law Press, Inc. [read post]
6 Dec 2023, 3:13 pm
For information about republication, please contact the author directly. [read post]
4 Dec 2023, 9:02 pm
And Alphabet Inc. [read post]
1 Dec 2023, 11:50 am
Solutions Law Press, Inc. invites you to receive future updates by registering on our Solutions Law Press, Inc. [read post]
