Search for: "Department of Professional and Financial Regulation"
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19 Jun 2012, 1:57 pm
Department of Financial and Professional Regulation. [read post]
19 Jun 2012, 1:57 pm
Department of Financial and Professional Regulation. [read post]
19 Jun 2012, 1:57 pm
Department of Financial and Professional Regulation. [read post]
27 Aug 2020, 5:00 pm
The proposed regulation adds text: (i) requiring fiduciaries to select investments based on financial considerations relevant to the risk-adjusted economic value of a particular investment, and (ii) prohibiting fiduciaries from subordinating the interests of participants in retirement income and financial benefits to non-pecuniary goals. [read post]
14 Apr 2011, 11:00 am
On April 14, 2011, John Huff, Director of the Missouri Department of Insurance, Financial Institutions, and Professional Registration, testified before the U.S. [read post]
7 Jul 2013, 2:55 pm
The new law provides that entities regulated by Vermont’s Department of Financial Regulation “shall provide notice of a breach to the Department [of Financial Regulation]. [read post]
19 Mar 2020, 3:01 am
In a reaction to the financial strains caused by the outbreak, the feds have been flooding the banking system with liquidity, both by relaxing regulations and through central bank operations. [read post]
22 Jan 2008, 6:22 am
After reports of nursing home abuse and neglect, the nursing home East Peoria Gardens Health Care Center has been heavily fined by the Illinois Department of Public Health and its director's administrator's license has been suspended by the Illinois Department of Financial and Professional Regulation. [read post]
15 Oct 2020, 12:44 pm
In addition, the proposed regulations would consider the proved oil and gas reserves on the lease and the financial strength of predecessors in determining whether additional security was required. [read post]
21 Mar 2017, 11:47 am
This duty cannot be cordoned off and delegated to the IT department. [read post]
21 Mar 2017, 11:47 am
This duty cannot be cordoned off and delegated to the IT department. [read post]
19 Nov 2015, 7:14 am
PROPOSED RULE FOR INVESTMENT PROFESSIONALS On April 20, 2015 the Department of Labor officially published a proposed rule change in the federal register. [read post]
27 Jan 2024, 9:04 pm
There are multiple federal financial regulatory agencies involved, in addition to the Federal Trade Commission, the Department of Justice, the Consumer Financial Protection Board, and state authorities. [read post]
27 Oct 2023, 10:41 am
FINRA Rules and Regulations – Common FINRA Violations The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that oversees and regulates the behavior of firms and professionals in the financial industry in the United States. [read post]
14 Apr 2023, 5:01 am
At the state level, examples of regulatory oversight of cybersecurity include the “safety and soundness examinations” conducted by New York State Department of Financial Services. [read post]
27 May 2010, 9:21 am
Recently, I have been counseling members of the securities industry about the new Financial Industry Regulatory Authority (FINRA) social media regulations. [read post]
8 Oct 2010, 2:56 pm
The Illinois Department of Financial and Professional Regulation is tasked with investigating complaints filed by patients against their doctors. [read post]
8 Sep 2023, 12:51 pm
In response to the SEC’s investigation, RiverSource’s compliance department took action in March 2018 by sending letters of reprimand and warnings to its supervised individuals and implementing a new training program. [read post]
3 Aug 2020, 2:26 pm
Department of Labor (DOL) recently (June 23, 2020) decided that employee benefit plan fiduciaries need to be reminded of their investment objectives under the Employee Retirement Income Security Act of 1974, as amended (ERISA). [read post]
19 Jul 2022, 6:15 am
: Over the past month I have been studying how Florida, unlike any other state, separates the regulation of its insurance into two different agencies: the Office of Insurance Regulation and the Department of Financial Services. [read post]
