Search for: "Financial Industry Regulatory Authority"
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5 Jun 2024, 10:52 am
As a registered broker-dealer, David Lerner Associates falls under the regulatory purview of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). [read post]
3 Jun 2024, 10:00 pm
Financial Regulatory Structure following the Dodd-Frank Act Explore this practice note to gain a comprehensive understanding of the Dodd-Frank Act and key changes that this Act made to the structure of the U.S. financial regulatory framework. [read post]
1 Jun 2024, 9:05 pm
In the U.K., the Financial Conduct Authority (FCA) took a test case to the Supreme Court in 2020 in order to get legal clarity on a representative sample of policy wordings. [read post]
31 May 2024, 11:49 am
Merrill Lynch, who self-reported the issue, reportedly signed separate consent orders with the Financial Industry Regulatory Authority (FINRA) and the New Hampshire Bureau of Securities Regulation. [read post]
31 May 2024, 8:20 am
Several months ago, a Financial Industry Regulatory Authority (FINRA) arbitration panel awarded $1M in compensatory damages to one customer for portfolio losses from allegedly unsuitable private placement recommendations by Roman. [read post]
30 May 2024, 7:28 am
Thrivent Investment Management Sanctioned by Securities Regulators Thrivent Investment Management Inc has reportedly been fined $325,000 and sanctioned for failing to properly supervise electronic signatures, which led to the falsification and forgery of customer documents, according to the Financial Industry Regulatory Authority (FINRA). [read post]
29 May 2024, 12:39 pm
Additionally, the installation should comply with all manufacturer warranties, applicable laws, and standard industry practices. [read post]
28 May 2024, 7:30 am
Not so, claim the powerful industry groups. [read post]
27 May 2024, 10:00 pm
Bank Climate-Related Financial Risk Regulatory Tracker Explore key rules (final and proposed) on climate-related financial risk requirements undertaken by the White House, SEC, Department of Treasury, and other federal banking agencies. [read post]
27 May 2024, 9:59 pm
This analysis is vital for stakeholders seeking to comprehend the broader impact of this regulatory change. [read post]
24 May 2024, 7:34 am
While the inquiry certainly created momentum around the discussion, the current government does not intend to push forward legislative changes, and the two regulators (the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA)) are still deep in review of their policy direction, although they have set some expectations about their priorities. [read post]
24 May 2024, 6:00 am
At the upcoming hearing, the big banks are likely to face one key question: To what extent, if at all, should banks be financially responsible in situations where consumers authorize Zelle payments to fraudsters? [read post]
24 May 2024, 3:43 am
There is a further lack of any suggestion of major structural reform to financial services regulation, such as that seen following the 1997 election with the introduction of the Financial Services Authority. [read post]
24 May 2024, 12:37 am
The following regulators received a letter: the Financial Conduct Authority (FCA) the Bank of England (BoE) the Information Commissioner’s Office (ICO) the Office of Communications (Ofcom) the Medicines and Healthcare products Regulatory Agency the Office for Nuclear Regulation (ONR) the Health and Safety Executive (HSE) the Office for Standards in Education, Children’s Services and Skills the Office of Qualifications and Examinations Regulation the Legal… [read post]
22 May 2024, 9:19 am
The actions proposed in the Position Paper go beyond changes to financial regulation and are thus directed not only to capital market supervisors but also to EU Member States, the European Commission and EU Co-Legislators as well as to the financial industry. [read post]
21 May 2024, 9:05 pm
Markham also explains that whether cryptocurrencies qualify as securities has tremendous importance over not just how the cryptocurrency industry is regulated, but over which financial regulatory agency does this regulating. [read post]
21 May 2024, 9:01 pm
A legal challenge to the Final Rule has already been filed by an insurance industry trade group in the U.S. [read post]
21 May 2024, 9:32 am
Digital Securities Sandbox: The BoE and the Financial Conduct Authority (FCA) are currently consulting on the operation of the Digital Securities Sandbox (DSS) – a new ‘test’ regulatory regime that allows firms to use developing technologies that would otherwise not be permitted (e.g. distributed ledger technology (DLT)) to issue trade and settle securities in a live environment – in order to support that proactive approach. [read post]
21 May 2024, 9:04 am
He refers to the 2022 Machine Learning (ML) survey conducted by the BoE and Financial Conduct Authority which showed that 72% of financial services respondents reported using or developing ML applications. [read post]
20 May 2024, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) is an agency that regulates virtually all broker-dealers. [read post]
