Search for: "Financial Industry Regulatory Authority"
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4 Mar 2024, 5:00 am
“Today’s bipartisan resolution represents a decisive action to ensure the SEC operates within its designated rulemaking authority,” said the Chamber of Digital Commerce. [read post]
2 Mar 2024, 8:16 am
This can result in significant legal and financial consequences, including compensation for damages and injuries caused by the accident. [read post]
1 Mar 2024, 9:05 pm
Armstrong acknowledges that it is unlikely that family law will lose its regulatory influence on the commercial surrogacy industry entirely, but she urges regulators to assess whether alternative approaches may yield improved regulatory outcomes for commercial surrogacy. [read post]
1 Mar 2024, 2:56 pm
国家发展改革委… [read post]
1 Mar 2024, 12:04 pm
In April 2023, the Consumer Financial Protection Bureau, DOJ’s Civil Rights Division, the EEOC, and the FTC issued a “Joint Statement on Enforcement Efforts against Discrimination and Bias in Automated Systems. [read post]
1 Mar 2024, 6:00 am
GOP senators said that Fed-backed cryptocurrencies would pose privacy concerns and allow regulatory authorities access to the private spending habits of individual Americans. [read post]
1 Mar 2024, 1:37 am
Data sharing between authorities in EU financial services. [read post]
29 Feb 2024, 9:01 pm
Given these challenges, the proposed rules have been met with industry pushback. [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]
28 Feb 2024, 10:53 am
Additionally, they could be subject to civil litigation, which can result in significant financial penalties. [read post]
28 Feb 2024, 9:06 am
In Florida, the foodservice industry is regulated by stringent guidelines to ensure the safety and health of its patrons. [read post]
27 Feb 2024, 11:09 am
The Financial Industry Regulatory Authority (FINRA) issued an Acceptance, Waiver, and Consent (AWC) on December 27, 2023, shedding light on various lapses in the firm’s supervision and reporting processes. [read post]
26 Feb 2024, 10:00 pm
Check out our Practical Guidance Author Center ! [read post]
26 Feb 2024, 12:30 pm
The allegations revolved around disappointing financial results, losses and production cuts, and material weaknesses in internal control over financial reporting. [read post]
23 Feb 2024, 9:05 pm
Supreme Court decision drove the one of the largest expansion of the sports gambling industry in the nation’s history. [read post]
23 Feb 2024, 11:04 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the FBI, and the U.S. [read post]
23 Feb 2024, 7:07 am
The proposed rules contemplate two cybersecurity regulatory measures for incident reporting. [read post]
23 Feb 2024, 6:52 am
“Given those circumstances, there is no support for the proposition that Congress back in the 1930’s conferred on the SEC regulatory authority over the entire digital asset industry—let alone over the myriad other commodities and assets that the SEC’s sweeping approach would cover. [read post]
23 Feb 2024, 5:26 am
The Financial Crimes Enforcement Network (FinCEN) of the U.S. [read post]
