Search for: "Financial Industry Regulatory Authority"
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31 Oct 2023, 6:26 am
As AI creates new jobs and industries, all workers need a seat at the table, including through collective bargaining, to ensure that they benefit from these opportunities. [read post]
30 Oct 2023, 11:00 pm
Federal and state regulatory agencies are focused on the actions of financial institutions and financial technology companies (fintech), with an emphasis on data privacy. [read post]
30 Oct 2023, 6:39 pm
The President understands that a chunk of this ambitious program lies largely beyond the constitutional limits of presidential authority. [read post]
30 Oct 2023, 4:39 pm
Does it necessarily include mechanisms of regulatory oversight such as those applied to public companies and certain industries such as banking and certain functions such as privacy? [read post]
27 Oct 2023, 9:25 pm
Financial accommodation – Before providing any financial accommodation to clients for investing in VA-related products, the intermediary should satisfy itself of the client’s ability to meet the obligations arising from leveraged or margin trading in VA-related products. [read post]
27 Oct 2023, 10:41 am
FINRA Rules and Regulations – Common FINRA Violations The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that oversees and regulates the behavior of firms and professionals in the financial industry in the United States. [read post]
27 Oct 2023, 6:00 am
It’s Early, But the CFPB’s Open Banking Rule Is Getting an Industry Thumbs UpDigital Transactions News – October 20, 2023 A day after the Consumer Financial Protection Bureau floated a proposed data rights rule, reaction from the payments industry has been largely positive. [read post]
26 Oct 2023, 12:50 pm
Look for firms that are members of relevant regulatory bodies, such as the Securities and Exchange Commission (SEC), or the Financial Industry Regulatory Authority (FINRA). [read post]
26 Oct 2023, 12:29 pm
Of course the companies will "balk at regulation," as the op-ed's author reports. [read post]
26 Oct 2023, 7:49 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
25 Oct 2023, 5:23 pm
The ex-New York broker was permanently barred by the Financial Industry Regulatory Authority (FINRA) last year and then suspended by the self-regulatory organization earlier this year. [read post]
25 Oct 2023, 12:29 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
25 Oct 2023, 7:36 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
24 Oct 2023, 10:23 am
Lawsuits also provide a mechanism to obtain financial resources needed to cover your child’s medical treatment and monitoring. [read post]
24 Oct 2023, 9:50 am
But who needs authority or dignity where one speaks to matters of compliance? [read post]
23 Oct 2023, 11:00 pm
Check out our Practical Guidance Author Center ! [read post]
23 Oct 2023, 8:36 pm
This type of broker misconduct is prohibited by the Financial Industry Regulatory Authority (FINRA) and brokerage firms have a duty to have the proper procedures, systems, and rules in place to prevent this from happening. [read post]
20 Oct 2023, 2:40 pm
The Audit Rule requires RIAs to obtain annual audited financial statements for each of its fund clients. [read post]
20 Oct 2023, 8:06 am
The Financial Industry Regulatory Authority Inc. [read post]
20 Oct 2023, 6:23 am
About the Author Alejandro E. [read post]
