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21 Nov 2021, 9:00 pm
It also raises questions about OSHA’s authority to impose these requirements through an ETS rather than a permanent standard, allowing it to bypass the requirement of a notice-and-comment rulemaking.OSHA’s Prior Uncertainty Over Its Authority to Mandate VaccinationsThe OSH Act does not clearly authorize OSHA to mandate vaccinations or testing. [read post]
20 Nov 2021, 12:55 pm
For example, a broker may falsely claim to have certain professional designations, or a broker may falsely claim to be registered with the Financial Industry Regulatory Authority (FINRA). [read post]
17 Nov 2021, 2:44 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
17 Nov 2021, 8:31 am
The Financial Industry Regulatory Authority (FINRA). [read post]
17 Nov 2021, 7:13 am
68 Customers To Receive Restitution From NY-Based Broker-Dealer, Aegis Capital The Financial Industry Regulatory Authority (FINRA) has sanctioned Aegis Capital, which will pay about $2.8M for the excessive and unsuitable trading that allegedly took place in dozens of customers’ accounts. [read post]
16 Nov 2021, 4:28 pm
However, this regulatory authority is limited because the CFTC only oversees the derivatives which are priced off commodities like cryptocurrency and the agency has only limited authority to regulate those underlying commodities. [read post]
15 Nov 2021, 7:48 pm
This post was authored by Amanda Ritchie, Touro College Jacob D. [read post]
15 Nov 2021, 12:34 pm
Gary Disbrow, director of biomedical advanced research and development authority at the Department of Health and Human Services; Dr. [read post]
15 Nov 2021, 8:40 am
Yet, the reinsurance intermediary regulatory landscape is intricate and unique. [read post]
15 Nov 2021, 8:32 am
On 25 October 2021, the Dubai Financial Services Authority (DFSA), the regulatory body of the Dubai International Financial Centre (DIFC), announced that it implemented a regulatory framework for investment tokens issued or traded within the DIFC (Regulatory Framework for Investment Tokens), which follows from the Consultation Paper No. 138 (Regulation of Security Tokens) it issued earlier in March this year. [read post]
15 Nov 2021, 6:23 am
The Court explained that “the Mandate imposes a financial burden upon [employers] by deputizing their participation in OSHA’s regulatory scheme, exposes them to severe financial risk if they refuse or fail to comply, and threatens to decimate their workforces (and business prospects) by forcing unwilling employees to take their shots, take their tests, or hit the road. [read post]
15 Nov 2021, 6:23 am
The Court explained that “the Mandate imposes a financial burden upon [employers] by deputizing their participation in OSHA’s regulatory scheme, exposes them to severe financial risk if they refuse or fail to comply, and threatens to decimate their workforces (and business prospects) by forcing unwilling employees to take their shots, take their tests, or hit the road. [read post]
14 Nov 2021, 9:09 pm
These prohibitions include the revocation of the following regulatory powers: the ability to (1) terminate a bank’s FDIC deposit insurance because it does business with the cannabis industry, (2) penalize banks for providing financial services to a marijuana related business, and (3) encourage banks not to provide services within the cannabis industry. [read post]
14 Nov 2021, 8:23 pm
(Ethan Lou, Financial Post). [read post]
12 Nov 2021, 7:57 am
While the United States can entice domestic carriers away from Chinese telecoms with financial carrots and regulatory sticks, its ability to influence international carriers is far more limited. [read post]
11 Nov 2021, 5:44 am
Iorio Altamirano LLP, a leading securities arbitration law firm, has filed a case through the Financial Industry Regulatory Authority (FINRA) Dispute Resolution Services’ arbitration forum against Aegis Capital Corp. [read post]
9 Nov 2021, 5:48 pm
On November 8, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Aegis Capital Corp. [read post]
9 Nov 2021, 1:34 pm
. $2.8M For Excessive and Unsuitable Trades According to The Financial Industry Regulatory Authority (FINRA) today, the regulator has reportedly censured and fined Aegis Capital Corp. $2.8 million, including $1.7 million in restitution to 68 customers whose accounts were allegedly excessively and unsuitably traded by the firm’s representatives. [read post]
9 Nov 2021, 1:34 pm
. $2.8M For Excessive and Unsuitable Trades According to The Financial Industry Regulatory Authority (FINRA) today, the regulator has reportedly censured and fined Aegis Capital Corp. $2.8 million, including $1.7 million in restitution to 68 customers whose accounts were allegedly excessively and unsuitably traded by the firm’s representatives. [read post]
9 Nov 2021, 12:46 pm
He has been in the industry since 1992. [read post]
