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: FinancialCounselInvestor Protection Priorities Of Securities Regulators Revealed In Continuing Education Topics
By James Eccleston
The Securities Industry/Regulatory Council on Continuing Education (the ?CE Council?) recently published its Firm Element Advisory to ?highlight current regulatory and sales practice issues? for financial services firms to consider incorporating into their continuing education programs for financial advisers. All in all, the CE Council has identified 14 areas for study, and its website (www.cecouncil.com) contains helpful web links and references to fully explore those areas. Let?s examine the more critical ones for investors to know.
Full post as published by FinancialCounsel on November 13, 2008 (boomark / email).
E2 Treaty Investor Visa Questions
E2 Visa Assistance
Privacy Protection Act 42 USC 21A
Federal Newsroom Law
Truth In Lending Act
Consumer Loans and Consumer Credit Protection Act
Cressi Scuba Regulators Recalled Due to Risk of Drowning
Scuba Regulators Recalled Due to Risk of Drowning
Wegmans Food Market
alleging the retailer revealed too much information on their credit and debit card receipts, violating the FACTA law, and leaving customers open to identity theft
Investor Fraud
Company president and director Gregory William Rivers to pay $10,000 shareholder fraud settlement.
Securities Settlement
GMH Trust Securities to pay $8.75 million in pending class action suit.
Department of Education Fraud
$4.25 million settlement to be paid in whistleblower lawsuit.
Racist Voicemail
Stamford Board of Education pays student $37,500 settlement after failing to protect her from racial discrimination.
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