Search for: "Financial Industry Regulatory Authority, Inc."
Results 1 - 20
of 3,156
Sort by Relevance
|
Sort by Date
19 Apr 2024, 2:04 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
19 Apr 2024, 1:43 pm
Michael Capolongo Network 1 Financial Securities Inc. [read post]
19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
18 Apr 2024, 6:26 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
3 Apr 2024, 9:03 pm
Douglas award,[9] made this point in congressional testimony that recommended, among other things, greater involvement of the Commission in interpreting regulatory policy.[10] Katz contended that having the Commission “micromanage” or displace the staff in performing their “daily responsibilities” would be “a disastrous outcome,” but “the Commission is the final authority on questions of regulatory policy, both in the… [read post]
3 Apr 2024, 9:01 pm
There are some that question our authority, hoping for a different regulatory regime altogether for their industry. [read post]
28 Mar 2024, 10:36 am
Juan Carlos Sosa Allegedly Converted Customer’s Funds According to a letter of acceptance on March 19, 2024, the Financial Industry Regulatory Authority (FINRA) has barred former SagePoint Financial advisor Juan Carlos Sosa (CRD#: 4059846) from associating with any FINRA member at any time. [read post]
26 Mar 2024, 2:48 pm
By late March 2023, the Financial Industry Regulatory Authority (FINRA) requested BP provide a deal chronology, including the names of those who were “in the know” before the acquisition. [read post]
26 Mar 2024, 8:11 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority. [read post]
25 Mar 2024, 6:38 am
Due to the widespread use of the Change Healthcare tools and systems as a financial clearinghouse for connecting pharmacy benefit managers, health care providers, and other key plays and health plans throughout the health care and health benefits industry, the attack has and continues to disrupt key billing, care-authorization, payment and other transactions between health care payers and pharmacies, physicians and other health care providers and health care… [read post]
23 Mar 2024, 5:31 am
Traditional financial metrics often overlook the less tangible, yet equally valuable, benefits of robust data governance—enhanced decision-making, compliance improvements, and reduced risk of data breaches. [read post]
22 Mar 2024, 9:07 am
Ron Bucher, Pinnacle Investments: Customers Allege Unauthorized Trading According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Pinnacle Investments broker Ron Bucher (CRD#: 1804910) from associating with any FINRA member at any time. [read post]
19 Mar 2024, 7:00 am
About the Author Cynthia Marcotte Stamer is a practicing attorney board certified in labor and employment law by the Texas Board of Legal Specialization and management consultant, author, public policy advocate and lecturer widely known for 35 plus years of health industry and other management work, public policy leadership and advocacy, coaching, teachings, and publications. [read post]
19 Mar 2024, 4:25 am
About Solutions Laws Press, Inc. [read post]
17 Mar 2024, 5:42 pm
Among other things: Due to the widespread use of the Change Healthcare tools and systems as a financial clearinghouse for connecting pharmacy benefit managers, health care providers, and other key plays and health plans throughout the health care and health benefits industry, the attack has and continues to disrupt key billing, care-authorization, payment and other transactions between health care payers and pharmacies, physicians and other health care providers… [read post]
13 Mar 2024, 8:56 am
” Earlier when the crypto industry was building up, the SEC indicated it had little statutory authority over digital assets and what authority it did have was unclear. [read post]
6 Mar 2024, 9:01 pm
’”[5] Today’s rulemaking is an extraordinary exercise of regulatory authority by the Commission that involves an economically and politically significant policy decision. [read post]
29 Feb 2024, 8:54 am
Michael Brickman Barred by Securities Regulators According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred Michael Brickman (CRD#: 4042866) from associating with any FINRA member at any time. [read post]
28 Feb 2024, 9:05 pm
About the author: Darin Detwiler is a food safety academic, advisor, advocate, and author. [read post]
26 Feb 2024, 12:30 pm
A good example of this is the Fisker, Inc. [read post]
