Search for: "Financial Industry Regulatory Authority"
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19 Sep 2023, 11:56 pm
If the brokerage firm does sue the former financial advisor, such a suit will likely be filed with The Financial Industry Regulatory Authority (FINRA). [read post]
19 Sep 2023, 9:01 pm
Commenters were also concerned about whether the PCAOB has the requisite authority to expand auditor responsibilities. [read post]
19 Sep 2023, 2:00 am
Federal and state regulatory agencies are focused on partnerships between financial institutions and financial technology (fintech) companies, with an emphasis on information security and data privacy. [read post]
18 Sep 2023, 8:04 am
It dove into what the author deemed the “age of the crypto whistleblower[s]. [read post]
18 Sep 2023, 6:49 am
One such case that recently came to light from the Financial Industry Regulatory Authority (FINRA) Disciplinary Actions report is that of Blake Adam Levy. [read post]
18 Sep 2023, 3:58 am
When considering manufacturing in Mexico, carefully evaluate industry fit. [read post]
15 Sep 2023, 6:38 am
Securities and Exchange Commission authority. [read post]
14 Sep 2023, 6:00 am
No matter how much authority over all the parameters of railroad competition the ICC was granted—and such authority was considerable[2]—the system of railroad regulation proved susceptible to industry capture and political influence. [read post]
14 Sep 2023, 4:24 am
Central to his thesis is the notion that regulatory half measures may be necessary but are not sufficient to adequately control the deployment of AI. [read post]
13 Sep 2023, 2:06 pm
While the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the California Department of Corporations (DOC), and even prosecutors can investigate your allegations against a brokerage firm or investment adviser, if you want to maximize your chances for a full financial recovery, your best bet is to retain the services of a respected San Francisco securities law firm that knows how to fight for you. [read post]
13 Sep 2023, 6:06 am
The Financial Industry Regulatory Authority (FINRA), the regulator who oversees brokerage firms, has rules concerning too much trading. [read post]
13 Sep 2023, 6:00 am
It was authorized to study industries and to investigate, identify, and order those engaged in “unfair methods of competition” to cease and desist. [read post]
12 Sep 2023, 9:01 pm
There were also items exercising new authorities granted under Dodd-Frank. [read post]
12 Sep 2023, 3:25 am
So one, one particular use case that’s been gaining a lot of traction with our clients in, in financial services, or the insurance industry is conducting 50 State Surveys in a matter of minutes. [read post]
12 Sep 2023, 2:00 am
Check out our Practical Guidance Author Center ! [read post]
12 Sep 2023, 2:00 am
FinTech M&A Potential Pitfalls and Regulatory Aspects Learn about the regulatory considerations in financial technology mergers and acquisitions. [read post]
11 Sep 2023, 9:01 pm
However, it was far from a complete victory for the industry. [read post]
11 Sep 2023, 4:15 pm
Such risks if not addressed may cause a company to be injured in its business from a financial perspective but also there may be injury to shareholders and other stakeholders, employees, its long term business prospects, its reputation and its brand. [read post]
9 Sep 2023, 9:03 am
It is intended to increase the current financial support by a factor of four. [read post]
8 Sep 2023, 6:51 pm
The Senior Research and Policy Analyst supports our programmatic focus on electrification of the transportation, building, and industrial sectors by providing strategic and technical assistance. [read post]
