Search for: "Prudential Securities"
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11 Nov 2008, 5:48 pm
While traditional securitization was a successful tool for bundling loans into asset-backed securities, he said, in the last decade it morphed into the short-term financing of complex illiquid securities whose value had to be determined by theoretical models. [read post]
27 Feb 2017, 3:29 pm
The relief actions taken by the Prudential Regulators and ESAs are more limited in scope than those taken by the CFTC. [read post]
27 Feb 2017, 3:29 pm
The relief actions taken by the Prudential Regulators and ESAs are more limited in scope than those taken by the CFTC. [read post]
27 Feb 2017, 3:29 pm
The relief actions taken by the Prudential Regulators and ESAs are more limited in scope than those taken by the CFTC. [read post]
22 Aug 2019, 9:31 am
Snowden J. noted that the fact that Rothesay is smaller than the Prudential does not necessarily mean that policyholders would have less security of benefits at Rothesay; indeed he noted the view of the independent expert that, measured by coverage ratios for capital purposes (Solvency II Solvency Capital Requirement (“SCR”) ratios), Rothesay could be considered to be slightly stronger than Prudential. [read post]
27 Jun 2012, 2:53 pm
The announcement followed by one week a similar deal struck with another large insurer, Prudential, over its own use of the Social Security Administration’s Death Master File. [read post]
6 Feb 2019, 1:07 pm
(CRD #8174) of Uniondale, NY and Prudential Securities Incorporated (CRD #7471) of New York, NY. [read post]
3 Oct 2007, 8:52 pm
The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments Commission (ASIC) have issued a discussion paper on a proposed online breach reporting system for dual-regulated institutions. [read post]
26 Mar 2014, 12:17 pm
Securities Industry Assn., 479 U. [read post]
10 Jan 2020, 1:41 am
In the Matter of Prudential Investment Management Services LLC, Respondent (FINRA AWC)FINRA Fines Citigroup Global Markets Inc. [read post]
1 Jan 2012, 10:56 am
Dickson, it is important to not only focus on the implications for the US financial system, but also to take care that these restrictions do not give rise to prudential issues for other jurisdictions. [read post]
31 Jan 2016, 5:01 pm
In this memorandum, “covered swap entities” refersto PR CSEs and CFTC CSEs, together; The SEC has proposed, but not yet finalized, uncleared swap margin and capital rules that would apply to security – based swap dealers and major security-based swap participants not prudentially regulated by a U.S. prudential regulator; The final rules are broadly similar to the Basel Committee on Banking Supervision’s and the International… [read post]
8 Apr 2008, 12:00 am
The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments Commission (ASIC) are jointly reminding direct offshore foreign insurers (DOFIs) and local insurance brokers about the new authorisation requirements for foreign insurers that come into effect on 1 July 2008. [read post]
16 Jul 2010, 1:23 pm
Here is the abstract: Since the financial crisis began in late 2007, there has been increasing recognition that micro-prudential financial regulation must be supplemented by macro-prudential supervision in order to maintain financial stability. [read post]
10 Mar 2012, 4:11 am
This case shows how a long-term disability insurance company can claim an overpayment once a claimant is approved for social security disability income benefits. [read post]
13 May 2019, 1:19 pm
,the Director of Relationship Management at Prudential Financial, and the new President of the National Structured Settlements Trade Association (NSSTA) talks with Ringler Radiohost, Larry Cohen and Ringler President and CEO, Geoff Hunt about the advocate for the financial security of injured people in legal settlements, the life companies’ role in the structured settlement planning process, and raising awareness about the benefits of… [read post]
17 Nov 2006, 5:17 am
O'Meally, a former Wall Street broker who made millions for himself and Prudential Securities through market timing, seems happy. [read post]
26 Jul 2017, 7:12 pm
Following a consultation paper issued by the Securities and Futures Commission (SFC) in July 2015, the SFC, on 24 July 2017, published consultation conclusions and further consultation on the proposed capital and other prudential requirements for licensed corporations engaged in over-the-counter derivatives (OTCD) activities and other proposed changes to the Securities and Futures (Financial Resources) Rules (FRR). [read post]
1 Aug 2016, 7:45 am
According to filings with the Securities and Exchange Commission, Jackson National Life Insurance Co. and Pruco Life Insurance Co., an annuity unit of Prudential Financial Inc., two of the largest variable annuity product manufacturers have announced the closure of L-share sales in certain variable annuities. [read post]
5 Mar 2018, 1:29 pm
Stuart Updegrove, according to public records with FINRA online, was previously registered with Nori, Hennion, Walsh Inc. in Parsippany, New Jersey from November 1992 until December 1992, Prudential Securities Inc. in New York, New York from August 1993 until January 1994, Sands Brothers & Co. in New York from August 1994 until January 1995, Northeast Securities in Mitchelfied, New York from January 1995 until October 1996, and Eastbrook Capital Group in New York from… [read post]
