Posts tagged with: "financial+services" Results 4181 - 4200 of 62,669
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
TTABlog Test: How Did These Three Recent Section 2(d) Appeals Turn Out?
7 Aug 2025, 11:33 am
"] In re Broadstreet Impact Services, LLC, Serial Nos. 97920876 & 98216202 (July 31, 2025 [read post]
The TTABlog - http://thettablog.blogspot.com/
What do New York City, Cleveland, Philadelphia, Pittsburgh, Chicago and your office computer have in common?
14 Dec 2009, 4:30 am
Register for the PLI’s 15th Annual Consumer Financial Services Institute and choose your location [read post]
Class Action Fairness Act Blog - https://www.cafalawblog.com/
ISS Pay-for-Performance Methodology Updates
14 Nov 2016, 6:26 am
Posted by Sean Quinn, Institutional Shareholder Services Inc., on Monday, November 14, 2016 Editor' [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Regulation Tomorrow Plus: EMEA regulatory insights series – 2024 horizon scanning – EU
27 Dec 2023, 7:16 am by Anna Carrier (BE), Floortje Nagelkerke (NL), Michael Born (DE), Sebastien Praicheux, Claire Guilbert, Dorothée Ciolino and Simon Lovegrove (UK)
Netherlands, Germany, France and Luxembourg provide their thoughts and insights on what 2024 holds from a financial [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
New video – Brexit and asset managers
19 Jun 2018, 8:02 am by John Palmer
Our latest Brexit and financial services video is now available. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
FINRA PROVIDES GUIDANCE ON FINANCIAL ADVISOR SUCCESSION PLANS
10 Nov 2022, 12:58 pm by Herskovits, PLLC
Notice 22-23 providing guidance on what firms should consider when constructing succession plans for Financial [read post]
FINRA Lawyer Blog - https://www.herskovitslaw.com/blog/
Chicago Financial Advisor Negligence Attorneys
7 Nov 2024, 6:46 pm by Shepherd Smith Edwards & Kantas, LLP
 Our Chicago Financial Advisor Negligence Attorneys Are Investigating Shepherd Smith Edwards and [read post]
Investor Lawyers Blog - https://www.investorlawyers.com/blog/
The Prospectus Directive and Transparency Directive Equivalence (Variation) Directions 2019
7 Nov 2019, 7:26 am by Simon Lovegrove (UK) and Jochen Vester (UK)
power conferred by regulation 2(1) and paragraph 9 of Schedule 1 of the Equivalence Determinations for Financial [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Eric Cantor’s Loss a Blow to Wall Street - Washington Wire - WSJ
11 Jun 2014, 10:41 pm by Tom Smith
Cantor was a well-placed one who understood how the industry worked and was not afraid to help the financial-services [read post]
The Right Coast - https://rightcoast.typepad.com/rightcoast/
Looking Back on Sarbanes-Oxley
14 Nov 2012, 10:29 am by Dan Ernst
  The Sarbanes-Oxley Act of 2002 as a Case Study of  Public Outrage Inspiring Financial Legislation [read post]
Legal History Blog - http://legalhistoryblog.blogspot.com/
CFPB’s Proposed Arbitration Rule Prompts Thousands of Comments
23 Aug 2016, 6:31 am by Joshua Davey
The comment period for the Consumer Financial Protection Bureau (CFPB)’s proposed arbitration rulemaking [read post]
Subject to Inquiry - http://www.subjecttoinquiry.com/
U.S. Treasury Publishes 2024 National Strategy for Combating Terrorist and Other Illicit Financing
1 Jun 2024, 3:45 pm by Bruce Zagaris
This latter report identified illicit financial threats resulting from fraudulent schemes, ransomware [read post]
The International Enforcement Law Reporter Blog - http://ielrblog.com/
There are Recent Customer Complaints with Broker Danielle Freeman in Firm Northwestern Mutual Investment Services, LLC
12 Feb 2025, 9:41 am by Staff Attorney
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danielle [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
UBS Puerto Rico Held Meeting Telling Financial Advisors to Sell UBS Closed-End Bond Funds Despite Concerns
6 Feb 2015, 9:07 am by Adam Nicolazzo
held a meeting during which executives of the firm, including Miguel Ferrer, then the Chairman of UBS Financial [read post]
New York Securities Fraud Lawyers Blog - http://www.newyorksecuritieslawyersblog.com/
House Committee Approves Legislation to Regulate OTC Derivatives
15 Oct 2009, 1:22 pm
The House Financial Services Committee today approved legislation that would, for the first time ever [read post]
Securities Law Prof Blog - https://lawprofessors.typepad.com/securities/
U.S. Treasury Publishes 2024 National Strategy for Combating Terrorist and Other Illicit Financing
1 Jun 2024, 3:45 pm by Bruce Zagaris
This latter report identified illicit financial threats resulting from fraudulent schemes, ransomware [read post]
The International Enforcement Law Reporter Blog - http://ielrblog.com
Arizona loan modification busted
20 Jul 2009, 7:26 am
Santoya Financial Co. charged customers more than $1,200 for its bogus services, Attorney General Terry [read post]
Reading Tea Leaves - http://rlwilsonconsulting.wordpress.com
California Bill Would Establish Registration Program With Respect To Commercial Financing Or Commercial Financing Brokerage Services
29 May 2024, 12:15 am
California Office of Administrative Law's rejection of regulations proposed by the Department of Financial [read post]
California Corporate & Securities Law - https://www.calcorporatelaw.com/
Mnuchin to discuss Equifax data breach with FSOC
7 Feb 2018, 11:25 am by Barbara S. Mishkin
Appearing before the House Financial Services Committee yesterday at a hearing entitled “The Annual [read post]
CFPB Monitor - http://www.cfpbmonitor.com
CBM Review Keeps its Narrow Scope: Narrowly Surviving En Banc Challenge
6 Jun 2017, 11:30 am by Dennis Crouch
holding that CBM review is only available when the claims themselves are directed toward a financial [read post]
Patently-O - https://patentlyo.com