Search for: "Financial Industry Regulatory Authority"
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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]
12 Mar 2024, 9:05 pm
That is why some other regulated industries are beginning to advocate for the preservation of some of the regulatory system. [read post]
12 Mar 2024, 12:27 pm
A weakened administrative state could mean less regulatory oversight, potentially leading to more freedom for businesses in terms of operations and financial practices. [read post]
12 Mar 2024, 7:42 am
On 11 March 2024, the Financial Conduct Authority (FCA) published a statement updating its position on cryptoasset-backed Exchange Traded Notes (cETNs) for professional investors. [read post]
11 Mar 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]
11 Mar 2024, 7:14 am
Jay Pocius Allegedly Misappropriated Client Funds According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Wells Fargo broker Jay Pocius (Jayson Robert Pocius) (CRD#: 6018543) from associating with any FINRA member at any time. [read post]
10 Mar 2024, 7:21 pm
The New York financial advisor was suspended for 18 months by the Financial Industry Regulatory Authority (FINRA) in January 2024 following allegations that he willfully violated Regulation Best Interest obligations after purportedly excessively trading in the accounts of customers, some of whom were elderly seniors. [read post]
10 Mar 2024, 5:04 pm
Data privacy and data protection The ICO has taken regulatory action against five public authorities, including two police forces, the Department for Education and the Foreign Commonwealth and Development Office, for failing to meet their obligations under the FOI Act. [read post]
8 Mar 2024, 5:13 am
" Industry News – Sustainable Development Beat The SEC’s Climate Disclosure Update: A Compromise Amidst Global Scrutiny ComplexDiscovery Staff Amidst the recent whirlwind of regulatory changes in climate disclosure, the U.S. [read post]
8 Mar 2024, 3:00 am
Authorities say the couple accepted bribes of cash, gold bars, and a luxury car in exchange for the senator’s influence over foreign affairs. [read post]
7 Mar 2024, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
7 Mar 2024, 2:37 pm
While employees and applicants appear to have a private right of action under A836/S2518A, it is important to note that an employer’s efforts to comply with applicable law or the requirements of a self-regulatory organization (such as the Financial Industry Regulatory Authority) will provide an affirmative defense to any claim. [read post]
7 Mar 2024, 2:08 pm
To stay out of the CFPB’s crosshairs, companies should retain counsel that is experienced with online marketing and lead generation industry regulatory compliance. [read post]
7 Mar 2024, 1:09 pm
The Financial Industry Regulatory Authority (FINRA) has issued a Letter of Acceptance, Waiver, and Consent (AWC) against LPL Financial LLC, a notable member firm in the securities industry. [read post]
6 Mar 2024, 9:05 pm
Stevenson argues that this legislation—premised on inaccurate information—forces financial institutions to subsidize the gun industry. [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]
5 Mar 2024, 9:05 pm
But under these proposals, secondary market trading in cryptoassets could be regulated by the Commodity Futures Trading Commission, by an industry self-regulatory body, by cryptoexchanges acting as self-regulators, or by a combination thereof. [read post]
4 Mar 2024, 10:00 pm
Read now » Related Content Federal Deposit Insurance Corporation Explore the role of the FDIC and its functions in the U.S. financial regulatory system. [read post]
4 Mar 2024, 11:36 am
Does not include as a freelance worker: (i) a sales representative under New York Labor Law § 191; (ii) a person engaged in the practice of law; (iii) a licensed medical professional; and (iv) any individual, partnership, corporation, or other entity admitted to membership in the Financial Industry Regulatory Authority. [read post]
4 Mar 2024, 7:36 am
AI Regulation Roadmap The government has written to regulators including the Office of Communications (Ofcom); Information Commissioner’s Office (ICO); Financial Conduct Authority (FCA); Competition and Markets Authority (CMA) asking them to publish an update outlining their strategic approach by 30 April. [read post]
