Actiance Teams With LinkedIn to Enable Compliance With Top Regulatory Body Guidelines for the Financial Services Industry
March 31, 2011 08:00 ET
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Actiance
BELMONT, CA--(Marketwire - March 31, 2011) - Actiance, enablers of the safe and compliant use of unified communications, collaboration and Web 2.0, announced today an agreement with...
SEC Rules for New RIA ADV Part 2 Require Creation of Plain English Brochure to Disclose Background and Business Practices
August 02, 2010 11:58 ET
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RIA In A Box
NEW YORK, NY--(Marketwire - August 2, 2010) - The SEC has adopted new rules (http://www.sec.gov/rules/final/2010/ia-3060.pdf ) that significantly impact all SEC registered RIAs. These new rules...
Thousands of RIAs Need to Prepare for Shift From SEC to State Oversight Under New Financial Reform Bill Rules
June 29, 2010 05:00 ET
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RIA In A Box
NEW YORK, NY--(Marketwire - June 29, 2010) - The financial reform bill which passed through the House-Senate conference committee Friday will require that 4200 RIAs now registered with the SEC shift...
RIA Registrations Continue to Climb, Fueling Growth at RIA In A Box
May 26, 2010 15:23 ET
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RIA In A Box
NEW YORK, NY--(Marketwire - May 26, 2010) - RIA In A Box (www.riainabox.com), a consulting business aimed exclusively at efficient creation of registered investment advisory firms, has added...
Marks Paneth & Shron Provides Insight on Implementing International Financial Reporting Standards (IFRS) in Roundtable Discussion Published by Financier Worldwide
April 01, 2010 10:01 ET
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Marks Paneth & Shron LLP
NEW YORK, NY--(Marketwire - April 1, 2010) - Steven L. Henning, Ph.D., CPA, Partner-in-Charge of the Litigation and Corporate Financial Advisory Services Group at Marks Paneth & Shron LLP,...
Star Buffet, Inc. Files Form 10-Q for Third Quarter FY 2010
December 16, 2009 20:30 ET
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Star Buffet, Inc.
SCOTTSDALE, Ariz., Dec. 16, 2009 (GLOBE NEWSWIRE) -- Star Buffet, Inc. (Nasdaq:STRZ) today filed a Form 10-Q with the Securities and Exchange Commission for its third quarter of fiscal 2010 ending...
Law Firms Led by Former SEC Enforcement Attorneys File New Claims Against UBS for the Sale of Principal Protected Notes -- UBS
December 11, 2009 13:58 ET
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Blum & Silver
BOCA RATON, Fla., Dec. 11, 2009 (GLOBE NEWSWIRE) -- On December 4, 2009, the Wall Street Journal reported that a FINRA Arbitration Panel awarded an investor $200,000.00 against UBS (NYSE:UBS) because...
Shine Vernon Team Files New Fraud Claims Today Against Charles Schwab Over YieldPlus Fund Misconduct
October 15, 2009 18:27 ET
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Vernon Healy Attorneys at Law
MELBOURNE, Fla., Oct. 15, 2009 (GLOBE NEWSWIRE) -- Charles Schwab & Co. and its former high-profile fund manager engaged in deception and fraudulent conduct when they misrepresented the Schwab...
RIA In A Box Offers Advertising Compliance Review Services to RIAs
September 14, 2009 07:00 ET
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RIA In A Box
HOUSTON, TX--(Marketwire - September 14, 2009) - RIA In A Box (www.riainabox.com), a consulting
business aimed exclusively at efficient creation of registered investment
advisory firms, today...
Hovig Melkonian Joins RIA In A Box as Compliance Director and Auditor
September 02, 2009 10:00 ET
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RIA In A Box
HOUSTON, TX--(Marketwire - September 2, 2009) - RIA In A Box (www.riainabox.com), a consulting
business aimed exclusively at efficient creation of registered investment
advisory firms, today...