Posts tagged with: "financial+services"
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11 Jul 2013, 6:00 am
MishkinIn the latest installment in the CFPB data collection controversy, the House Financial Services Committee’s Subcommittee on Financial Institutions and Consumer Credit held a hearing on July 9 entitled “Examining How the Consumer Financial Protection Bureau Collects and Uses Consumer Data. [read post]
13 Aug 2024, 9:37 am
The post Did Portsmouth Financial Services Sell You GWG’s L-Bonds? [read post]
2 Apr 2020, 6:19 am
The petition follows announcements by the Consumer Financial Protection Bureau and the banking regulators urging financial services institutions to work with customers impacted by COVID-19, particularly consumers who cannot make existing loan payments. [read post]
9 Dec 2022, 8:40 am
On 8 December 2022, the Financial Services and Markets Bill had its first reading in the House of Lords. [read post]
20 Mar 2023, 7:04 am
The post Republicans Almost Sort Of Agree That Something Should Be Done About Financial Services Cybersecurity appeared first on Above the Law. [read post]
28 Feb 2025, 1:45 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Rock was employed by Ameriprise Financial Services, LLC at the time of the activity. [read post]
19 Apr 2025, 6:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Cabral was employed by Ameriprise Financial Services, LLC at the time of the activity. [read post]
27 Jul 2023, 2:16 pm
On 27 July 2023, the Financial Stability Board (FSB) published a statement following survey feedback on the continuity of access to financial market infrastructure (FMI) services for firms in resolution. [read post]
7 Nov 2007, 10:34 am
Markets in Financial Instruments Directive to Take EffectA sweeping reform of financial services regulation in the European Union is represented by MiFID, the Markets in Financial Instruments Directive, 2004/39/EC, which takes effect on November 1, 2007. [read post]
12 Dec 2022, 9:33 am
On 12 December 2022, the FCA published a firm wide review on understanding approaches to D&I in financial services. [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
23 Jul 2020, 8:52 am
On July 30, 2020, the House Financial Services Committee will hold a hearing entitled, “Protecting Consumers During the Pandemic? [read post]
8 Sep 2012, 7:44 am
The House Capital Markets Subcommittee approved the bill in August by a The vote was 21-10 vote.The next step in the process should be mark up and approval by the full Financial Services Committee. [read post]
31 Jan 2025, 1:19 am
On 30 January 2025, the Financial Services and Markets Act 2023 (Digital Securities Sandbox) (Amendment) Regulations 2025 were laid before Parliament and published on legislation.gov.uk, along with an explanatory memorandum. [read post]
11 Nov 2020, 7:01 am
Lawrence Goldstein was a registered financial advisor with McNally Financial Services Corporation in Sparks, Nevada, from April 2010 until February 28, 2020. [read post]
3 Apr 2013, 11:37 am
KaplinskyThe 18th Annual Consumer Financial Services Institute, sponsored by the Practising Law Institute, will take place on April 8-9, in New York City (and by live webcast and groupcast in Philadelphia, Pittsburgh, and Mechanicsville, Pennsylvania), and on May 2-3, in Chicago. [read post]
12 Oct 2020, 12:38 pm
Ballard Spahr’s Consumer Financial Services Group is pleased to announce that it will hold a special live CLE webcast series, “Consumer Financial Services in Turbulent Times,” through the end of this year. [read post]
14 Dec 2015, 7:22 am
Mishkin The House Financial Service Committee’s Subcommittee on Oversight and Investigations has scheduled a hearing for December 16, 2015 on “Examining the Consumer Financial Protection Bureau’s Mass Data Collection Program. [read post]
11 Sep 2018, 11:29 am
A new bill introduced by House Financial Services subcommittee Chairman Rep. [read post]
