Posts tagged with: "financial+issue"
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21 Nov 2023, 9:00 am
The SEC’s most notable results, however, came from its Whistleblower Program: In fiscal year 2023, the SEC issued whistleblower awards totaling nearly $600 million, the most ever awarded in one ... [read post]
22 Feb 2016, 2:03 am
Sometimes a regulatory matter is stunning not for the seriousness of the misconduct or the dollars at issue but, more simply, because of the sheer number of violations addressed. [read post]
7 Nov 2023, 8:48 am
The proposal implements Section 1033 of the Dodd-Frank Act which authorizes the CFPB to issue rules requiring “a covered person [to] make available to a consumer, upon request, information in the control or possession of such person concerning the consumer financial product or service that the consumer obtained from such covered person, including information related to any transaction, or series of transactions, to the account including costs, charges, and usage data. [read post]
24 May 2016, 8:38 pm
Directory Assistance Call Completion Is Not A Financial Service for CBM Purposes By Joseph Herndon -- On May 4, 2016, the USPTO Patent Trial and Appeal Board (PTAB) issued a decision denying institution of a Covered Business Method (CBM) patent review in a proceeding between AT&T Mobility and Intellectual Ventures, based on U.S. [read post]
7 Aug 2014, 10:18 am
An Outlier Decision Crawford caused a stir when it was issued a few […]The CFS Blog | Maurice & Needleman, P.C. - Providing the latest in FDCPA, TCPA, FCRA and other consumer financial services laws [read post]
21 Nov 2023, 9:00 am
The SEC’s most notable results, however, came from its Whistleblower Program: In fiscal year 2023, the SEC issued whistleblower awards totaling nearly $600 million, the most ever awarded in one ... [read post]
3 Mar 2022, 7:35 am
AdvisorHub is reporting that FINRA issued an alert on Friday warning about the compliance obligations triggered due to sanctions the U.S. government has imposed on individuals and entities in response to Russia’s invasion of Ukraine.The Finra alert noted that following a White House Executive Order, the Department of Treasury’s Office of Foreign Assets Control (OFAC) barred U.S. financial institutions from processing transactions to five major Russian financial… [read post]
13 Mar 2024, 10:00 pm
Recent headlines involving the Central States Teamsters Pension Fund and the Pension Benefit Guaranty Corporation’s (PBGC) Special Financial Assistance (SFA) Program highlights an issue with meaningful consequences for multiemployer defined benefit plans—unreported deceased participants. [read post]
13 Mar 2024, 10:00 pm
Recent headlines involving the Central States Teamsters Pension Fund and the Pension Benefit Guaranty Corporation’s (PBGC) Special Financial Assistance (SFA) Program highlights an issue with meaningful consequences for multiemployer defined benefit plans—unreported deceased participants. [read post]
1 Jun 2011, 3:37 pm
But has the issue attention cycle in the academy already changed? [read post]
13 Mar 2024, 10:00 pm
Recent headlines involving the Central States Teamsters Pension Fund and the Pension Benefit Guaranty Corporation’s (PBGC) Special Financial Assistance (SFA) Program highlights an issue with meaningful consequences for multiemployer defined benefit plans—unreported deceased participants. [read post]
13 Mar 2024, 10:00 pm
Recent headlines involving the Central States Teamsters Pension Fund and the Pension Benefit Guaranty Corporation’s (PBGC) Special Financial Assistance (SFA) Program highlights an issue with meaningful consequences for multiemployer defined benefit plans—unreported deceased participants. [read post]
28 Dec 2012, 9:44 am
Collaborative Divorce Procedure – The answer to all your debt issues? [read post]
9 Aug 2021, 10:00 am
Issues like cost, school ranking, and licensing can all play a part in those early job options but what can we learn from it? [read post]
13 Mar 2024, 10:00 pm
Recent headlines involving the Central States Teamsters Pension Fund and the Pension Benefit Guaranty Corporation’s (PBGC) Special Financial Assistance (SFA) Program highlights an issue with meaningful consequences for multiemployer defined benefit plans—unreported deceased participants. [read post]
18 Mar 2015, 3:32 pm
A single swap on a bond issued in June 2008 cost Sweet Briar more then a million dollars in payments to Wachovia before the school exited the swap in September 2011. [read post]
Gary Gensler Confirmed As New SEC Chair As Agency Tackles GameStop Saga, ESG Boom And Cryptocurrency
15 Apr 2021, 10:15 am
Gary Gensler Confirmed As New SEC Chair As Agency Tackles GameStop Saga, ESG Boom And Cryptocurrency Gary Gensler, the was just approved chair of the Securities and Exchange Commission, will have his hands full and rely on increased disclosure requirements in tackling the pressing issues of the moment including ESG investing, cryptocurrency and a fiduciary standard for financial advisors. [read post]
15 Nov 2017, 12:00 pm
I've kept an eye on this issue and co-authored a report on some interesting choices FINRA made for public governors. [read post]
7 May 2013, 6:04 am
Although many firms have implemented policies and procedures to track emails, the devil is often in the details, as this recent settlement proves.NEXT On LineFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, NEXT Financial Group, Inc., submitted a Letter of Acceptance, ... [read post]
13 Mar 2024, 10:00 pm
Recent headlines involving the Central States Teamsters Pension Fund and the Pension Benefit Guaranty Corporation’s (PBGC) Special Financial Assistance (SFA) Program highlights an issue with meaningful consequences for multiemployer defined benefit plans—unreported deceased participants. [read post]
