Search for: "Financial Industry Regulatory Authority"
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25 Apr 2024, 2:55 am
The stakeholders forum will be composed of, but not limited to, representatives of the pharmaceutical industry, health professionals, consumers, patients, and scientific researchers. [read post]
24 Apr 2024, 10:42 am
The new SPAC regulations, however, are not one of them; this author had trouble finding any significant public opposition to the new SPAC rules since 2022. [read post]
23 Apr 2024, 6:30 am
Altdata generally is understood to include information about an organization that is available outside of traditional financial and regulatory reporting channels, press releases, or other authorized materials. [read post]
23 Apr 2024, 6:30 am
Altdata generally is understood to include information about an organization that is available outside of traditional financial and regulatory reporting channels, press releases, or other authorized materials. [read post]
23 Apr 2024, 1:49 am
On 22 April 2024, the Financial Conduct Authority (FCA) published a speech by its chief executive, Nikhil Rathi, entitled ‘Navigating the UK’s Digital Regulation Landscape: Where are we headed? [read post]
22 Apr 2024, 10:00 pm
Consumer Regulatory Law Explore this overview of the federal legal framework for financial institutions and entities that provide consumer financial services. [read post]
22 Apr 2024, 11:39 am
You can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
22 Apr 2024, 9:13 am
On 22 April 2024, the Financial Conduct Authority (FCA) published a speech by its chief executive, Nikhil Rathi, entitled ‘Navigating the UK’s Digital Regulation Landscape: Where are we headed? [read post]
20 Apr 2024, 9:05 pm
In a recent discussion with The Regulatory Review, Lisa Fairfax, Presidential Professor at the University of Pennsylvania Carey Law School and a public governor on the Board of Governors of the Financial Industry Regulatory Authority (FINRA), offers insight into timely corporate governance topics such as environmental, social, and governance (ESG) and “stakeholderism. [read post]
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
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
19 Apr 2024, 9:36 am
Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services industry. [read post]
19 Apr 2024, 9:27 am
It is a must-attend gathering for industry professionals, providing unparalleled insights and networking opportunities. [read post]
18 Apr 2024, 12:52 pm
The CFTC holds enforcement authority and regulatory oversight over VCMs and any trading activities within these markets. [read post]
18 Apr 2024, 7:20 am
Also authorizing the assignment of an interest in a RUE for the first time ever under the regulations, but such transfers may similarly be rejected unless and until all base level and supplemental financial assurance requirements are satisfied. [read post]
18 Apr 2024, 6:26 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
16 Apr 2024, 9:05 pm
But this attitude started changing amid explosive industry growth and reports of hidden fees and conflicts of interest in the years following the global financial crisis of 2008. [read post]
15 Apr 2024, 10:00 pm
Practitioners can explore blockchain and regulatory considerations to aid in advising banks, financial intermediaries, and financial technology startups on distributed ledger technology. [read post]
15 Apr 2024, 10:00 pm
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
15 Apr 2024, 6:43 am
This includes working closely with the Bank of England, the Financial Conduct Authority and the Prudential Regulation Authority. [read post]
