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Affordable Access to High-Quality Defense with Affirm's Pay Later
13 Nov 2024, 6:23 am
threaten your livelihood and your basic human rights.At Flaherty & Merrifield, we believe that financial [read post]
Flaherty Defense Firm - https://www.flahertydefensefirm.com/blog/
ESMA letter on the prioritisation of 2023 deliverables
10 May 2023, 8:56 am by Simon Lovegrove (UK)
Authority (ESMA) published a letter from its Chair, Verena Ross, to John Berrigan (Director-General, DG for Financial [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Mitchell Black Has Several Variable Annuity Sales Practice Complaints
6 Jun 2019, 12:18 pm by Staff Attorney
According to BrokerCheck records financial advisor Mitchell Black (Black), currently employed by Ameriprise [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
California Legislature Passes AB-1864 Setting the Stage for the “Department of Financial Protection and Innovation” and the California Consumer Financial Protection Law
8 Sep 2020, 1:16 pm by Michael R. Guerrero
services providers in the state. [read post]
CFPB Monitor - http://www.cfpbmonitor.com
There are Recent Customer Complaints with Broker Christina Skipper in Firm Wealth Enhancement Brokerage Services, LLC
20 Mar 2025, 6:22 am by Staff Attorney
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
BaFin publishes report and opens consultation on regulatory future of FinTech
17 Jul 2018, 6:27 am by Martin Klemmer
On 16 July, the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
New NASAA Working Group Aims to Improve BD Fee Disclosures
12 Sep 2014, 3:01 pm by John Jascob
“Investors have a right to know how much they are paying for these services,” said NASAA [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
New York State Comptroller Thomas P. DiNapoli announced the following local government were issued on February 13, 2025
13 Feb 2025, 12:00 pm by Public Employment Law Press
Board Oversight (Orange County) The board did not provide adequate oversight of the district’s financial [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/
New York State Comptroller Thomas P. DiNapoli announced the following local government were issued on February 13, 2025
13 Feb 2025, 12:00 pm by Public Employment Law Press
Board Oversight (Orange County) The board did not provide adequate oversight of the district’s financial [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/
Insurance Data Security Model Law Picks Up Steam
6 Feb 2019, 11:48 am by Andreas Kaltsounis and Shea M. Leitch
Law (MDL-668), based on the landmark cybersecurity requirements issued by the New York Department of Financial [read post]
Data Privacy Monitor - http://www.dataprivacymonitor.com/
Zamansky LLC Investigates Claims by Customers of Financial Advisor John A. Dougherty of LPL Financial LLC in Blue Bell, PA of Possible Investment Fraud
24 Feb 2023, 4:59 pm by Zamansky LLC
Our law firm is investigating claims by customers Financial Advisor John A. [read post]
Zamansky LLC Blog - http://www.zamansky.com/news-media/
The U.S. Government Is Targeting Cryptocurrency to Expand the Reach of Its Financial Surveillance 
21 Dec 2020, 3:15 pm by Marta Belcher
FinCEN) announced a proposed regulation that would require money service businesses (which includes, [read post]
Deeplinks Blog - https://www.eff.org/deeplinks
New York State municipal and school district audits issued
27 Feb 2025, 11:50 am by Public Employment Law Press
Lawrence County)  The board did not adequately monitor financial activities. [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/
Ex-MML Investors Services Broker Gary Hammond Accused of Making $1.6M In Unauthorized Transactions
2 Feb 2021, 1:00 am by Shepherd Smith Edwards & Kantas, LLP
FINRA Bars Former Charlotte, North Carolina Financial Advisor  The Financial Industry Regulatory [read post]
Investor Lawyers Blog - https://www.investorlawyers.com/blog/
TTAB Posts January 2014 Hearing Schedule
2 Jan 2014, 5:26 am
papers for these cases may be found at TTABVUE via the links provided.January 7, 2014 - 2 PM: In re Peak Financial [read post]
The TTABlog - http://thettablog.blogspot.com/
MiFID: WILL IT AFFECT THE DUTCH CARIBBEAN?
14 Mar 2008, 9:00 pm
Markets in Financial Instruments Directive MiFID is an EU directive which provides a harmonized regulatory [read post]
Karel's Legal Blog - http://www.curacao-law.com
Regulators Issue Final Dodd-Frank Standards for Assessing Diversity Policies and Practices of Covered Entities in the Financial Services Industry
24 Jul 2015, 6:40 am by John F. Fullerton III
   Covered Entities include financial institutions, investment banking firms, mortgage banking [read post]
Workforce Bulletin - https://www.workforcebulletin.com/
CFPB issues final rule to give bureau supervisory power over digital consumer payment applications
4 Dec 2024, 11:57 am by Kristen E. Larson and Ronald K. Vaske
The CFPB has issued a final rule to supervise large nonbank financial services providers that offer general-use [read post]
CFPB Monitor - http://www.cfpbmonitor.com
FCA enforcement consultation – impact of the general election
28 May 2024, 6:30 am by Katie Stephen (UK), Hannah Meakin (UK) and Catherine Pluck (UK)
Enforcement Guide and publicising enforcement investigations – a new approach), the House of Lords Financial [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
PSR consultation on regulatory fees for 2018/19
18 Aug 2017, 7:24 am by Imogen Garner and Matthew Gregory
regulatory fees 2018/19: Consultation on 2018/19 PSR regulatory fees for the funding of the PSR’s Financial [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/