Search for: "Financial Industry Regulatory Authority"
Results 5581 - 5600
of 11,234
Sorted by Relevance
|
Sort by Date
13 Oct 2014, 6:00 am
Congress passed the Motor Carrier Act of 1980 (MCA) with the intention of overhauling "outdated and archaic regulatory mechanisms, while retaining the pluses of an industry that has worked by simply conducting itself under the ‘rules of the game. [read post]
13 Oct 2014, 6:00 am
Congress passed the Motor Carrier Act of 1980 (MCA) with the intention of overhauling "outdated and archaic regulatory mechanisms, while retaining the pluses of an industry that has worked by simply conducting itself under the ‘rules of the game. [read post]
30 Apr 2018, 2:19 pm
While state and federal financial regulators generally operate in separate spheres, it appears authorities are at least united regarding the need to strike the right balance between appropriate regulation and the responsible growth of this nascent industry. [read post]
12 May 2020, 4:53 pm
The Rule applies to authorized and surplus lines insurers. [read post]
1 Mar 2011, 6:00 am
Phillip Thorpe, the head of the Qatar Financial Centre Regulatory Authority, a corporate body owned and funded by the state of Qatar, reportedly said that with “no change, we can expect there will be another” financial crisis.Image by Flickr user World Economic Forum, and used under a Creative Commons license. [read post]
15 May 2019, 2:37 am
On 15 May 2019, the Netherlands Authority for the Financial Markets (Autoriteit Financiële Markten, the AFM) and the Securities and Futures Commission of Hong Kong (the SFC) entered into a Memorandum of Understanding on Mutual Recognition of Funds (the MoU). [read post]
10 Jul 2023, 10:00 pm
Check out the new Practical Guidance Author Center ! [read post]
7 Jan 2020, 8:13 am
Turner & Company, a firm that has since been shut down due to numerous regulatory problems. [read post]
9 Nov 2021, 1:34 pm
. $2.8M For Excessive and Unsuitable Trades According to The Financial Industry Regulatory Authority (FINRA) today, the regulator has reportedly censured and fined Aegis Capital Corp. $2.8 million, including $1.7 million in restitution to 68 customers whose accounts were allegedly excessively and unsuitably traded by the firm’s representatives. [read post]
9 Nov 2021, 1:34 pm
. $2.8M For Excessive and Unsuitable Trades According to The Financial Industry Regulatory Authority (FINRA) today, the regulator has reportedly censured and fined Aegis Capital Corp. $2.8 million, including $1.7 million in restitution to 68 customers whose accounts were allegedly excessively and unsuitably traded by the firm’s representatives. [read post]
11 Jun 2024, 6:00 am
Federal banking agencies, such as the Consumer Finance Protection Bureau, have broad supervisory and enforcement authority over financial technology companies (FinTech), and are increasingly exercising such supervision and enforcement authority. [read post]
31 May 2012, 12:08 pm
POGO is particularly opposed to the Financial Industry Regulatory Authority (FINRA) becoming the SRO because it believes that "FINRA's regulatory effectiveness is undermined by its inherent conflicts of interest, its lack of transparency and accountability, its lobbying expenditures, and its executive compensation packages, among other issues. [read post]
27 Feb 2017, 1:44 pm
The Update, however, is less prescriptive than the “Report on Digital Investment Advice” issued by the Financial Industry Regulatory Authority (“FINRA“) in March 2016 (the “FINRA Report“). [read post]
28 Jan 2012, 9:56 am
The Financial Crimes Enforcement Network is working on a regulatory proposal that would require investment advisers to establish anti-money laundering programs and report suspicious activity. [read post]
7 Feb 2022, 3:58 am
” PBOC and the Shanghai office of the China Banking and Insurance Regulatory Commission were, both, targeted in December. [read post]
30 Nov 2017, 7:04 am
In August 2009, the Financial Industry Regulatory Authority (FINRA) sanctioned Baum following allegations he executed discretionary trades without written authorization in the account of a deceased customer and executed discretionary trades in other accounts without authorization. [read post]
2 Aug 2017, 7:18 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, Swiss Financial Market Supervisory Authority, Hong Kong Securities and Futures Commission, Liechtenstein Financial Market Authority, Guernsey Financial Services Commission, British Columbia Securities Commission, Québec Autorité des Marchés Financier, Ontario Securities Commission, Turks and Caicos… [read post]
27 Jul 2015, 9:45 pm
With these various considerations in mind, what are we to make of the use of performance measurement systems in the context of governmental entities, in particular regulatory authorities? [read post]
12 Feb 2012, 6:48 pm
Banking lawyers and risk officers will be spending the weekend poring over comment letters in an effort to convince regulatory authorities to tweak the rules. [read post]
26 Jul 2018, 9:00 am
Nevertheless, the overall prospect of regulatory reform/evolution at the federal level is exciting to the fintech industry and its investors regardless of which agency champions that reform. [read post]
