Search for: "Financial Industry Regulatory Authority"
Results 281 - 300
of 11,168
Sort by Relevance
|
Sort by Date
25 Jan 2024, 6:55 pm
" Agencies need not "limit their public advocacy to discouraging illegal conduct or addressing subjects within the scope of their regulatory authority," but may condemn practices that they have no statutory or constitutional authority to regulate. [read post]
25 Jan 2024, 6:06 pm
While these two types of REITs share these similarities, there are also numerous differences between them, as illustrated in the chart below provided by The Financial Industry Regulatory Authority (FINRA). [read post]
25 Jan 2024, 4:00 pm
Lighthouse Launches Industry’s First AI-Powered Privilege Review Lighthouse, a leader in technology-enabled eDiscovery, compliance, and information governance services, today announced the launch of Lighthouse AI Privilege Review, the industry’s first AI-powered privilege review. [read post]
25 Jan 2024, 2:07 pm
If you need to report the incident to regulatory authorities, make sure you do so as well. [read post]
25 Jan 2024, 8:04 am
Nelson, J.D.The Financial Industry Regulatory Authority (FINRA) has updated its 2022 targeted exam review of how member firms talk to their retail customers about crypto assets and those firms’ related compliance with the communications rules contained in FINRA Rule 2210. [read post]
25 Jan 2024, 4:37 am
The challenges in SEP licensing, especially in the smart energy industry, revolve around ensuring fairness and accessibility. [read post]
25 Jan 2024, 3:07 am
Ms Pritchard flagged that the industry has been asking the FCA for some regulatory intervention in this space and particularly in two key elements set out in the consultation – firstly non-financial misconduct, and secondly setting strategies, targets and data reporting targeted at the largest firms only. [read post]
24 Jan 2024, 1:47 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
24 Jan 2024, 1:37 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
24 Jan 2024, 8:51 am
Here, the court found that many benefits and reasons associated with the Law outweighed any hypothetical cost imposed on the interstate fast food industry: “The City enacted the Wrongful Discharge Law to protect vulnerable fast-food employees from the financial hardships—e.g., homelessness, food insecurity, loss of resources to pay for child care—caused by arbitrary reductions in hours and terminations. [read post]
24 Jan 2024, 7:34 am
FINRA Bars Michael Archimede after Allegations of Loan from Customer The Financial Industry Regulatory Authority (FINRA) has reportedly barred financial advisor Michael Archimede (CRD # CRD#: 5701306) from the securities industry after allegedly failing to provide information in an investigation. [read post]
23 Jan 2024, 2:04 pm
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, 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]
23 Jan 2024, 5:00 am
Cryptocurrency and Blockchain Litigation and Regulatory Enforcement Gain key insight into the regulatory landscape for cryptocurrencies and ongoing development by regulatory agencies. [read post]
23 Jan 2024, 4:45 am
This overview will be invaluable for understanding the regulatory landscape, ensuring compliance, and strategizing foreign investments in the U.S. market. [read post]
22 Jan 2024, 12:16 pm
Wells Fargo’s brokerage subsidiary has been fined $425,000 by the Financial Industry Regulatory Authority (Finra) for allegedly misreporting trade prices on millions of client transactions. [read post]
22 Jan 2024, 11:54 am
” Are regulatory filings required to evidence satisfaction of the diligent search? [read post]
22 Jan 2024, 8:14 am
Treat was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning whether Treat reasonably supervised the sale of certain illiquid investment. [read post]
22 Jan 2024, 8:08 am
Securities Regulator Suspends Lucas Hales for Private Securities Transactions The Financial Industry Regulatory Authority (FINRA) has reportedly suspended broker Lucas Hales (CRD #6254897) from the securities industry for 12 months and issued a fine of $10,0000 as of on January 18, 2024. [read post]
22 Jan 2024, 5:56 am
These advisors play a role in promoting investments while raising awareness about ESG concerns within the financial sector. [read post]
19 Jan 2024, 9:05 pm
The post The Multibillion-Dollar Legal Theft Industry first appeared on The Regulatory Review. [read post]
