Search for: "Financial Industry Regulatory Authority"
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19 Jan 2024, 11:52 am
In 2019, the Financial Industry Regulatory Authority (FINRA) reportedly sanctioned Robinhood Financial with a $1.5 million fine for allegedly failing to ensure investors received the best prices on securities orders. [read post]
19 Jan 2024, 8:59 am
The WRF is made up of the following regulatory authorities: Through the financial contribution of the CER, BCER, AER and Saskatchewan MER, Canadians are provided with no fee access to CSA ... [read post]
19 Jan 2024, 3:43 am
Regulatory Proceedings and ESG Litigation Also Top the List of Legal Priorities Regulatory proceedings, environmental, social, and governance (ESG) litigation, and financial fraud class actions are also among the top concerns for corporate counsel, with over 60% of survey participants involved in at least one regulatory proceeding in 2023, marking an uptick from 2022. [read post]
19 Jan 2024, 3:00 am
DNyuz – Nick Corasaniti (New York Times) | Published: 1/17/2024 Political ads are a deeply entrenched multimillion-dollar industry, and one of the largest expenses of every presidential campaign. [read post]
18 Jan 2024, 1:30 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
16 Jan 2024, 9:03 pm
Industry interviews showed that trust in authorities’ competence and use of WGS data was low and fragile. [read post]
16 Jan 2024, 5:00 am
FinCEN reporting is among key regulatory examination priorities for 2024. [read post]
16 Jan 2024, 5:00 am
Check out our Practical Guidance Author Center ! [read post]
15 Jan 2024, 1:27 am
The British Insurance Brokers’ Association (BIBA) has issued its 2024 manifesto dealing with wide-ranging issues affecting brokers in the UK and calls on the UK Financial Conduct Authority to create and oversee a regulatory environment that encourages growth and competitiveness. [read post]
12 Jan 2024, 8:56 am
Attorney’s Office for the Southern District of New York, the FBI, and the Financial Industry Regulatory Authority. [read post]
11 Jan 2024, 8:49 am
., banks, building societies, and Prudential Regulation Authority-designated investment firms), with the aim of ensuring that the UK continues to have world-class arrangements to manage the failure of financial firms. [read post]
10 Jan 2024, 9:05 pm
These lawsuits provide financial compensation to injured individuals but require little corrective action from gun companies going forward. [read post]
10 Jan 2024, 9:23 am
The Need for Stronger Regulatory Measures The Illinois Nursing Home Care Act establishes residents’ rights to be free of abuse, make decisions regarding their health care, and live in a home-like environment. [read post]
10 Jan 2024, 9:23 am
The Need for Stronger Regulatory Measures The Illinois Nursing Home Care Act establishes residents’ rights to be free of abuse, make decisions regarding their health care, and live in a home-like environment. [read post]
10 Jan 2024, 9:16 am
The report, which was authored by the Subcommittee on Digital Assets and Blockchain Technology, notes that DeFi offers both promising opportunities and complex, significant risks to the US financial system, consumers and national security. [read post]
9 Jan 2024, 10:10 am
Check out our Practical Guidance Author Center ! [read post]
9 Jan 2024, 9:00 am
Unfortunately, there is not industry consensus on a taxonomy for such data but given how much rides on correct classifications, it would be prudent to be proactive here.4. [read post]
8 Jan 2024, 2:10 pm
When in doubt, Covered Entities should seek the advice of experienced legal counsel within the scope of attorney-client privilege about proper fulfillment of their obligations under the Right of Access Rule in coordination with any other applicable responsibilities the Covered Entities has to provide access, disclose, or prevent disclosure of the requested information under otherwise applicable federal or states laws and regulations, ethical or other professional standards, contractual or other… [read post]
8 Jan 2024, 12:34 pm
PIABA and FINRAPIABA, the Public Investors Arbitration Bar Association, collaborates with FINRA, the Financial Industry Regulatory Authority, on matters related to investor protection and securities arbitration. [read post]
8 Jan 2024, 7:51 am
The new laws also shift authority to the state over large-scale wind and solar projects. [read post]
