Search for: "Financial Industry Regulatory Authority"
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15 Nov 2023, 8:55 am
The Financial Industry Regulatory Authority (FINRA) is the self-regulator that oversees brokers and brokerage firms. [read post]
15 Nov 2023, 12:30 am
FINRA, otherwise known as the Financial Industry Regulatory Authority, is an administrative body that regulates the securities industry and provides a forum for securities related disputes. [read post]
14 Nov 2023, 4:53 pm
This article was co-authored with Kate Green and Rachael Lee. [read post]
14 Nov 2023, 2:00 pm
Consumer Regulatory Law Explore this overview of the legal framework for financial institutions and entities that provide consumer financial services including non-bank financial institutions, specialty finance companies, and financial technology companies. [read post]
13 Nov 2023, 9:05 pm
”[18] Instead, the Interpretive Guidance “puts the Council’s designation authority on equal footing with other powers. [read post]
13 Nov 2023, 9:01 pm
After performing an initial assessment of current operations and strategies against the Climate Principles, banking organizations will need to continue to monitor regulatory and industry developments to ensure that their systems to identify, measure, monitor, and control exposure to climate-related financial risks are adequate to bolster resiliency and comply with new regulatory requirements and expectations. [read post]
13 Nov 2023, 5:40 pm
From a criminal defense standpoint, of key importance here are regulatory definitions that exclude some financial arrangements or agreements as being outside the AKS. [read post]
13 Nov 2023, 1:01 pm
The Financial Industry Regulatory Authority (FINRA) operates as a nonprofit, self-regulatory organization in the United States’ securities industry. [read post]
13 Nov 2023, 8:43 am
”H.R. 4664 allocates funding for financial services and general government for fiscal year ended September 30, 2024. [read post]
13 Nov 2023, 6:43 am
Our regulatory systems, including the Cancer Moonshot, greatly favor this paradigm. [read post]
12 Nov 2023, 9:23 pm
The Ten Fastest Growing Independent Broker-Dealers in 2022 According to Investment News, the following brokerage firms are the top ten fastest growing independent broker-dealers, as of December 2022: 1 Alden Investment Group 2022 revenue: $18.35 million 2021 revenue: $5.88 million Change: 212.1% 2 Prospera Financial Services, Inc. 2022 revenue: $109.94 million 2021 revenue: $82.01 million Change: 34.1% 3 Arkadios Capital 2022 revenue: $79.13… [read post]
11 Nov 2023, 6:30 am
This information is intended to supplement the current short sale transaction information provided by major U.S. stock exchanges and the Financial Industry Regulatory Authority (FINRA). [read post]
11 Nov 2023, 6:30 am
This information is intended to supplement the current short sale transaction information provided by major U.S. stock exchanges and the Financial Industry Regulatory Authority (FINRA). [read post]
11 Nov 2023, 4:25 am
Key takeaways from Hong Kong Fintech Week Hong Kong Fintech Week 2023 saw several new policy and regulatory announcements by the Financial Services and the Treasury Bureau (the FSTB), the Securities and Futures Commission (the SFC) and the Hong Kong Monetary Authority (the HKMA). [read post]
10 Nov 2023, 2:00 pm
More from our authors: Vissers Annotated European Patent Convention 2023 Edition by Kaisa Suominen, Nina Ferara, Peter de Lange, Andrew Rudge€ 105 Guide to EU and UK Pharmaceutical Regulatory Law, Eighth Edition by Sally Shorthose€ 265 Patent Litigation Through the Unified Patent Court… [read post]
10 Nov 2023, 1:35 pm
quickly to implement and communicate 2024 health spending account (“HFSA”), high deductible health plan amounts relevant to determining eligibility to contribute to a medical savings account (“MSA”), adoption credit and exclusion limits, and other inflation-adjusted limitations relevant to the annual enrollment, withholding and other year-end tax and benefit planning of workers and their families to assist workers to take into account these adjustments during 2024 benefit… [read post]
10 Nov 2023, 7:44 am
FINRA (The Financial Industry Regulatory Authority) is the self-regulator that oversees brokers and brokerage firms. [read post]
10 Nov 2023, 6:00 am
After moving through the proverbial revolving door to the private sector, he worked on policy for the broadcasting, financial services, and computer industries, culminating in a nine-year stint as senior vice president for global policy at the Software & Information Industry Association. [read post]
9 Nov 2023, 1:48 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, 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]
9 Nov 2023, 1:07 pm
quickly to implement and communicate 2024 health spending account (“HFSA”), high deductible health plan amounts relevant to determining eligibility to contribute to a medical savings account (“MSA”), adoption credit and exclusion limits, and other inflation-adjusted limitations relevant to the annual enrollment, withholding and other year-end tax and benefit planning of workers and their families to assist workers to take into account these adjustments during 2024 benefit… [read post]
