Legal Advice for Financial Markets And Services — 7 results
Financial markets and services are heavily regulated industries. Transactions are overseen by several agencies, such as the Securities and Exchange Commission.
Written by Avvo Staff, about 7 years ago.
markets such as the NASDAQ stock exchange provide a forum for shares of stock
in public companies to be sold or traded. Financial markets or securities law
strictly regulates... more
Written by attorney R Scott Oswald, almost 5 years ago.
What law protects whistleblowers in the financial services industry? Section 1057 of the Dodd-Frank Act prohibits consumer financial services providers from retaliating against an employee... more
Written by attorney Robert Brighton, about 5 years ago.
Every financial crisis has spawned a regulatory reaction, some might say overreaction. The Depression brought about the enactment of various federal statutes, most notably the Glass-... more
Written by attorney E. Davidoff, about 2 years ago.
Collection Financial Standards impact the IRS computation of acceptable offers in compromise and installment agreements. These are critical standards used by the IRS in determining the... more
Written by attorney Henry Lively, over 3 years ago.
The IRS has set its priorities for the coming year. It is no secret, they are going after those who evade their responsibility to pay their taxes. Foreign banks in bank secrecy... more
Written by attorney Robert Brighton, almost 5 years ago.
Sometime in July, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), a sweeping regulatory reform bill, will become law.
Dodd-Frank is intended to address... more
Written by attorney Culver Van Der Jagt, over 5 years ago.
Lack of transparency, accuracy, and due process with Social Services It appears that the current trend is for Social Services to blame inaccurate reports on "training issues". It is easy... more
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