Search for: "Financial Industry Regulatory Authority"
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16 Mar 2020, 8:04 am
AI is transforming virtually every industry, organization, and government, along with the lives of individuals, as one might expect of this fourth industrial revolution. [read post]
13 Mar 2020, 1:53 am
Wolf Sauter and Lord Justice Arnold in discussionThe final topic of the day was Global Health, Alternatives to IP, Concluding Talk & Discussion with the penultimate presentation from Wolf Sauter (Free University of Amsterdam)in his academic capacity (rather than officially representing his regulatory perspective from the Netherlands’ Authority for Consumers and Markets). [read post]
11 Mar 2020, 8:47 am
According to the Financial Industry Regulatory Authority, Cindy Chiellini currently has more than thirty (30) customer disputes on her broker record for similar allegations, many of which were filed recently. [read post]
10 Mar 2020, 10:20 am
” The industry standard measure is “MAUs,” or “monthly active users. [read post]
10 Mar 2020, 6:32 am
Securities Fraud Attorneys in Nashville, Tennessee The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with over thirty years securities law experience, including experience at the Financial Industry Regulatory Authority and the Securities and Exchange Commission. [read post]
9 Mar 2020, 9:03 pm
It took the Great Recession to get the Dodd-Frank financial sector regulatory reforms enacted, and that act is under relentless attack. [read post]
9 Mar 2020, 1:21 pm
FDA relies on statutory authority to regulate labeling/ads. [read post]
9 Mar 2020, 11:42 am
For example, Principle 5 (Security) of the Bureau’s Consumer Protection Principles: Consumer-Authorized Financial Data Sharing and Aggregation (Oct. 18, 2017) places obligations on “all parties that access, store, transmit or dispose of [consumer] data” to protect consumer data against security breaches. [read post]
9 Mar 2020, 11:04 am
.: The Senate Judiciary Committee will hold a hearing titled, "The EARN IT Act: Holding the Tech Industry Accountable in the Fight Against Online Child Sexual Exploitation. [read post]
6 Mar 2020, 9:52 am
Recovery of Investment Losses Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
6 Mar 2020, 9:37 am
Notwithstanding the above UK papers, there are also papers from the European Supervisory Authorities that provide some assistance. [read post]
6 Mar 2020, 6:51 am
Regulated activities require permissions and monitoring from the Financial Conduct Authority (“FCA“) and Prudential Regulation Authority. [read post]
6 Mar 2020, 5:12 am
However, the firm has come under scrutiny, with a hefty fine by the Financial Industry Regulatory Authority (FINRA) in December 2019 for certain violations, as well as a number of technical glitches that have affected investors. [read post]
6 Mar 2020, 1:30 am
Read today's blog for the answers.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, William Blake McGowan submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
5 Mar 2020, 9:05 pm
But, Araya noted, there is growing concern that overregulation will stifle innovation in a developing industry. [read post]
4 Mar 2020, 5:44 am
Broker Erik Patrick Pica, a previously registered broker with John Stone Capital, LLC was recently barred by the Financial Industry Regulatory Authority (FINRA) following an investigation started last year into whether Pica converted and misused $200,000 from an elderly customer, and whether he failed to comply with compliance with FINRA’s investigations, which are violations of FINRA Rules 2150 and 2010, according to an investigation by investor rights… [read post]
4 Mar 2020, 5:44 am
Broker Erik Patrick Pica, a previously registered broker with John Stone Capital, LLC was recently barred by the Financial Industry Regulatory Authority (FINRA) following an investigation started last year into whether Pica converted and misused $200,000 from an elderly customer, and whether he failed to comply with compliance with FINRA’s investigations, which are violations of FINRA Rules 2150 and 2010, according to an investigation by investor rights… [read post]
3 Mar 2020, 11:58 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
3 Mar 2020, 11:54 am
So it should come as no surprise that debt-relief legal and regulatory issues are back in the spotlight. [read post]
2 Mar 2020, 3:23 pm
February has also seen the welcoming of proposals from both ASIC and the Australian Prudential Regulatory Authority (APRA) as co-regulators of the superannuation industry as well as the passing of the anticipated bill broadening the scope of Australia’s Fintech sandbox. [read post]
