Search for: "North American Financial Group" Results 81 - 100 of 2,078
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15 Jun 2018, 12:04 pm by Elizabeth Dalziel
  The ICI’s request pointed out that other regulatory and advocacy organizations, such as the Financial Industry Regulatory Authority and the North American Securities Administrators Association, have taken measures to help ensure that the financial institutions they regulate will be protected from enforcement action if they take reasonable steps to prevent financial exploitation of seniors and other vulnerable adults. [read post]
2 May 2023, 5:26 am by Unknown
By Jay Fishman, J.D.The North American Securities Administrators Association, Inc. [read post]
26 Sep 2009, 6:00 am
Denise Voigt Crawford, newly elected president of the North American Securities Administrators Association, or NASAA, helped launch a pilot program in Texas that enlists physicians and other health-care professionals in identifying and assisting seniors at risk of financial exploitation. [read post]
7 Nov 2008, 2:42 pm by Blum & Silver, LLP
State regulators are fielding so many calls about Lehman's notes they're considering a task force to investigate the sales, said Rex Staples, general counsel for the North American Securities Administrators Association Inc., a group of 67 state and provincial regulators based in Washington. [read post]
26 Jan 2016, 9:20 am by Robert Duff
Duff announces the filing of a lawsuit against North Carolina-based American Lending Solutions Corp. and Indianapolis-based Last Chance Wrecker & Sales, Inc. concerning the wrongful repossession of a motor vehicle. [read post]
3 Jun 2019, 2:11 pm by Astarita
Pieciak, President of the North American Securities Administrators Association and Commissioner of the Vermont Department of Financial Regulation.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
2 Jul 2021, 11:47 am by Abby Lemert, Eleanor Runde
Rhodium Group analysis shows an expansion in household debt in China over the past five years that exceeds the debt racked up by American households from 2003 to 2008. [read post]
30 Sep 2014, 11:13 am by admin
An impressive array of amici lined up behind the Board:  Attorneys-General from 23 states; the National Governors Association; and the American Dental Association, American Medical Association and more than two dozen additional professional associations and licensure boards. [read post]
21 May 2015, 8:53 am by Matthew R. Arnold, Esq.
The woman—twenty-seven-year-old Philippa Okoye—said that a coworker at financial consulting firm deVere Group said he thought it was “disgusting when white women go out with black guys. [read post]
10 Jan 2023, 5:57 am by USPTO
When we reach out and meet people where they are with pro bono legal services, we serve a broader group of constituents. [read post]
20 Oct 2022, 6:21 am by Claudia Swain
In 2017, Canada’s state-owned public transportation agency Metrolinx was the target of a thwarted North Korean cyberattack. [read post]
23 Oct 2018, 4:00 am by Robert Chesney
There is no mention of North Korea’s attack on Sony and ongoing theft from various financial institutions. [read post]
9 Jun 2015, 5:58 am by Simon Lester
The International Economic Law Interest Groups of the American Society of International Law and the European Society of International Law, in cooperation with the Max Planck Institute for Comparative Public Law and International Law, will hold a joint workshop in which progress in new research on these issues may be made. [read post]
23 Jan 2017, 1:47 pm by Renae Lloyd
You’ll find contact information for your state securities regulator on the website of the North American Securities Administrators Association. [read post]
Maryland Amends its Securities Act Earlier this year the Maryland General Assembly amended parts of the Maryland Securities Act and added some new sections to it. The amendments went into effect on October 1, 2017. Changes to the Maryland Securities Act include the creation of the Securities Act Registration Fund, adoption of the North American Securities Administrators Association’s Senior Model Act to address financial exploitation of seniors, and changes in fees for certain filing categories. The amendments added a new section, Section 11-208, which establishes a Securities Act Registration Fund. The Fund’s purpose is “to help fund the direct and indirect costs of administering and enforcing the Maryland Securities Act.” The Fund will comprise registration fees, money that the State sets aside for the Fund in its budget, and any money accepted from any other source for the Fund’s benefit. The Fund cannot be used for any purpose other than administering and enforcing the Maryland Securities Act. The Maryland General Assembly also adopted NASAA’s Senior Model Act to address the financial exploitation of seniors. As discussed previously, NASAA adopted the Senior Model Act last year to provide state securities administrators with a framework for possible legislation to protect seniors and other vulnerable adults. The Maryland Securities Act now requires a broker-dealer or investment adviser who has a reasonable belief that a senior or other vulnerable adult has been financially exploited to inform the Maryland Securities Commissioner and a local department. A local department is a state authority tasked with addressing exploitation of vulnerable adults under Maryland’s family laws. The amendments will also permit a broker-dealer or investment adviser to delay disbursements from a senior or other vulnerable adult’s account if the broker-dealer or investment adviser reasonably believes that the disbursement could result in financial exploitation of the senior or other vulnerable adult. The amendments also
30 Nov 2017, 8:09 am by Elizabeth Dalziel
  Changes to the Maryland Securities Act include the creation of the Securities Act Registration Fund, adoption of the North American Securities Administrators Association’s Senior Model Act to address financial exploitation of seniors, and changes in fees for certain filing categories. [read post]
15 Nov 2011, 9:30 am
The North American Securities Administrators Association reports that in the last year alone, the leading financial frauds involved precious metal investments and distressed real estate, both involved topics that made headlines. 4) Investors that are being targeted belong to a group whose members may be possibly cognitively impaired, including elderly seniors that live alone (in particular, women). 5) Questionable marketing tactics, such as direct mail,… [read post]
2 Dec 2009, 3:34 am
Many North American law firms have developed their intranet portals using Microsoft SharePoint 2007 software (soon to be released in a new 2010 version). [read post]