Search for: "Financial Industry Regulatory Authority"
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7 May 2024, 7:35 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
7 May 2024, 5:49 am
Some experts argue that the FTC has overstepped its regulatory authority and that such sweeping changes to employment contract norms should be legislated by Congress rather than imposed through regulatory action. [read post]
6 May 2024, 7:03 pm
FINRA BrokerCheck – Eddy Blizzard The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with The Financial Industry Regulatory Authority (FINRA). [read post]
6 May 2024, 11:52 am
FINRA Bars Northwestern Mutual Broker Michael Gravelyn after Allegations According to public records, FINRA, the self-regulator, has reportedly barred financial advisor Michael Gravelyn (CRD # 6569005) from working in the securities industry. [read post]
4 May 2024, 8:31 pm
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 cybersecurity, workforce, technology and other compliance, risk management and mitigation, incident and other investigations,regulatory and government affairs, and other strategic, operational,… [read post]
4 May 2024, 4:33 am
Tax authorities would need to rely on accurate and timely information about economic activities taking place within their borders, which would necessitate the implementation of secure data exchange protocols and the protection of sensitive financial information from cyber threats. [read post]
3 May 2024, 6:00 am
The global average near-surface temperature was 1.45 ± 0.12 °C above the pre-industrial baseline; the warmest 10-year period on record. [read post]
3 May 2024, 6:00 am
The settlement with merchants, announced in March, would cap rates for card fees for five years and give sellers more authority to offer discounts based on the use of certain cards. [read post]
2 May 2024, 12:35 pm
April 2024 FINRA barred financial advisor Scott Matalon from the securities industry after he reportedly refused to cooperate with their investigation into allegations made by a client. [read post]
1 May 2024, 8:18 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
1 May 2024, 6:47 am
” “FINRA orders Barclays unit to pay $700K over conflicts of interest” — “A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority (FINRA) that its research analysts violated conflict-of-interest rules and the firm failed to sufficiently supervise their trades. [read post]
1 May 2024, 4:24 am
Legislative and Regulatory Challenges There are debates about the legal authority of bodies like the SEC to enforce ESG and climate-related disclosure standards. [read post]
30 Apr 2024, 2:51 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
30 Apr 2024, 9:40 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
30 Apr 2024, 5:09 am
The implications of such regulatory stances are profound, not just for Meta but for the entire tech industry, which might see a shift towards more transparent and user-respecting business models. [read post]
29 Apr 2024, 10:00 pm
Consumer Regulatory Law Access this practice note for a comprehensive review of the federal legal framework for financial institutions and entities that provide consumer financial services. [read post]
29 Apr 2024, 9:01 pm
These sectors include the following: Chemical; Commercial Facilities; Communications; Critical Manufacturing; Dams; Defense Industrial Base; Emergency Services; Energy; Financial Services; Food and Agriculture; Government Facilities; Healthcare and Public Health; Information Technology; Nuclear Reactors, Materials, and Waste; Transportation Systems; and Water and Wastewater Systems.[4] If an entity is not part of one of these sectors, it is not a Covered Entity. [read post]
29 Apr 2024, 10:13 am
On 29 April 2024, the Financial Conduct Authority (FCA) published Policy Statement PS24/3 on Consumer Credit: Product Sales Data Reporting, in which it sets out its final rules and guidance for incorporating three new Product Sales Data (PSD) returns into Chapter 16 of its Supervision manual (SUP 16). [read post]
29 Apr 2024, 10:13 am
On 29 April 2024, the Financial Conduct Authority (FCA) published Policy Statement PS24/3 on Consumer Credit: Product Sales Data Reporting, in which it sets out its final rules and guidance for incorporating three new Product Sales Data (PSD) returns into Chapter 16 of its Supervision manual (SUP 16). [read post]
25 Apr 2024, 6:17 am
In fact, a lot of the major insurers when they come from the US or from the UK, she’s the first port of call when they want to ask for regulatory compliance matters, how to deal with our regulator, the Monetary Authority Of Singapore, and so she’s very active in that space. [read post]
