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27 Mar 2019, 9:31 am
Our colleague Nancy Gunzenhauser Popper at Epstein Becker Green has a post on the Retail Labor and Employment Law Blog that will be of interest to our readers in the financial services industry: “April Fools’ Joke? [read post]
8 Jul 2008, 7:47 pm
While he was a broker for UBS Financial Services, Timothy Flynn sold $30 million in auction-rate securities to towns and cities in Massachusetts. [read post]
20 Jan 2011, 4:17 pm
It is crucial that you have a seasoned Kansas City personal injury lawyer on your side! [read post]
7 Mar 2009, 5:58 am
More Salt Lake City coverage here. [read post]
4 Nov 2010, 8:05 am
In order to be eligible under this new plan, the two partners must have shared the same residence for at least one year as well as the financial responsibility of living together. [read post]
5 May 2022, 11:53 am
A financially interested person is a person or entity who has a financial interest in city business, including anyone who owns or controls 20% or more of the entity. [read post]
14 Jun 2010, 7:33 am
As House and Senate conferees June 10 kick off the process of finalizing sweeping financial regulatory reform legislation, a key area of controversy is likely to be the so-called “Volcker Rule,” which would prohibit commercial banks and bank holding companies from… Read this entire article for free, simply activate your free 15 day trial access to Securities Regulation & Law Report now. [read post]
1 Sep 2010, 3:41 am
Two major stakeholders asked the Internal Revenue Service to exclude a wide range of financial institutions from the broad new reporting, disclosure, and withholding requirements in the Foreign Account Tax Compliance Act (FATCA) in… Read this entire article for free, simply activate your free 15 day trial access to Alternative Investment Law Report now. [read post]
13 Dec 2010, 3:35 am
The new Consumer Financial Protection Bureau has enforcement authority and rulemaking authorities that the Federal Trade Commission does not, and those powers may influence the FTC’s privacy enforcement related to… Read this entire article for free, simply activate your free 15 day trial access to Privacy & Security Law Report now. [read post]
8 Mar 2010, 2:45 am
Legislative language that the Treasury Department will soon submit to Congress calls for quantitative limits and additional capital requirements on nonbank financial firms engaged in proprietary trading activities. [read post]
1 Mar 2010, 3:18 am
Federal Reserve Chairman Ben Bernanke indicated Feb. 25 that the Fed is reviewing the role of derivatives and certain financial firms in the Greek debt crisis… Read this entire article for free, simply activate your free 15 day trial access to Securities Regulation & Law Report now. [read post]
17 Mar 2017, 6:56 am
., a mid-sized broker-dealer based in New York City with 415 registered reps, is being investigated by three regulatory agencies, including the SEC, The Financial Industry Regulatory Authority Inc., the Securities and Exchange Commission and the Treasury Department’s Financial Crimes Enforcement Network, (FINCEN). [read post]
26 Apr 2012, 2:29 am
Third: analyse the firm's financial strength. [read post]
19 Jun 2017, 3:32 pm
The OCC plans to hold office hours in other cities at later dates. [read post]
7 May 2012, 3:07 pm
However, your trustee need not be a powerful financial services company. [read post]
16 Sep 2022, 10:18 am
Amanda Berry, who was reportedly affiliated with MML Investor Services, in Oklahoma City at the time, allegedly formed Icon Financial Group LLC with her husband in 2018 to purportedly “advise clients on real estate and financial matters,” according to the article. [read post]
18 Jan 2010, 1:02 pm
Last week it was announced that Citi had agreed to settle with KV. [read post]
13 Aug 2013, 12:23 pm
City of Glens Falls – Financial Condition (Warren County) The city council adopts realistic budgets, and along with the mayor and city controller, continually monitors the budgets throughout the year and will initiate and approve any necessary budget amendments. [read post]
26 May 2022, 9:04 am
On 25 May 2022, Duncan Mackinnon (Executive Director for Supervisory Risk Specialists) gave a speech at the City and Financial 9th Annual Operational Resilience for Financial Institutions Summit. [read post]
31 Jul 2019, 6:49 pm
Oklahoma City, OK (August 1, 2019) – On August 1, the Oklahoma City Police Department responded to a request for help near the intersection of South Kentucky Avenue and Southwest 89th Street. [read post]
