Search for: "Financial Industry Regulatory Authority"
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9 Feb 2010, 7:36 am
Global competition would then arise among various financial-product regulatory environments, and that might well be acceptable. [read post]
22 Mar 2023, 7:30 am
Yesterday at the NAIC Spring National Meeting, the Working Group adopted a work plan which lays out a detailed schedule across the spring and summer for regulatory only meetings, consultations with industry, and open sessions, including public comment periods and final approval at the Fall National Meeting in December. [read post]
8 Apr 2020, 11:20 am
Essential Services Joined with the National Association of Regulatory Utility Commissioners (“NARUC”) in urging all state authorities to designate utility workers as essential to the nation’s critical infrastructure. [read post]
20 Aug 2024, 4:00 am
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
4 May 2020, 12:03 pm
Here, we review the other emergency authorities that state and territory executive authorities possess to address the pandemic. [read post]
6 Jul 2010, 12:01 pm
Treasury Department, though it will not have any regulatory authority. [read post]
17 Nov 2016, 9:30 pm
Lubben posed a series of questions about what the Trump Administration could mean for financial regulation. [read post]
19 Sep 2007, 9:07 am
In connection with the summit, the SEC (along with the North American Securities Administrators Association and the Financial Industry Regulatory Authority) issued a report that sheds some light on the nature and extent of the problem. [read post]
7 Feb 2023, 9:02 pm
Your broker-dealer and financial advisor should be registered with the Financial Industry Regulatory Authority (FINRA), which has a forum where you would likely go to resolve your dispute. [read post]
11 May 2022, 7:07 am
Newport Coast was expelled by the Financial Industry Regulatory Authority (FINRA) in 2018. [read post]
21 Mar 2016, 3:25 pm
If you invested with Jeffrey Davis and would like to speak to a securities attorney about your potential to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration, please call 1-888-637-5510 for a free consultation. [read post]
21 Jun 2017, 9:28 am
The existing EU regulatory framework for electronic communications obliges the EU Member States to provide in their national laws for certain powers and responsibilities of national regulatory authorities (“NRA”), in particular related to the analysis of markets likely to be regulated ex-ante. [read post]
21 Jun 2017, 9:28 am
The existing EU regulatory framework for electronic communications obliges the EU Member States to provide in their national laws for certain powers and responsibilities of national regulatory authorities (“NRA”), in particular related to the analysis of markets likely to be regulated ex-ante. [read post]
21 Jun 2017, 9:28 am
The existing EU regulatory framework for electronic communications obliges the EU Member States to provide in their national laws for certain powers and responsibilities of national regulatory authorities (“NRA”), in particular related to the analysis of markets likely to be regulated ex-ante. [read post]
18 Oct 2021, 9:14 am
Our Denver broker negligence lawyers represent investors throughout the state and the rest of the US in their Financial Industry Regulatory Authority (FINRA) arbitration claims over losses they sustained due to the wrongful or careless actions of their financial advisors. [read post]
3 Mar 2023, 3:30 am
In 2020, Utah was first to launch its legal regulatory sandbox and, in Canada, law societies in three provinces have subsequently launched sandbox initiatives in relatively quick succession (see, here, here and here).1 These developments follow earlier use of rule waivers and “innovation spaces” overseas by the Solicitors Regulation Authority (the regulator of solicitors in England and Wales) starting in 2016.2 All of this has taken place in the backdrop of sandbox use… [read post]
28 Sep 2011, 1:28 pm
In April 2010, both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) filed lawsuits against McGinn Smith and its principals, alleging that from 2003 through April 2010, McGinn Smith committed an ongoing fraud against over 900 investors. [read post]
27 Jun 2024, 7:56 am
Ito identifies three waves of these regulatory measures. [read post]
15 Mar 2012, 9:00 pm
A bipartisan bill was introduced in the Senate (S. 2184) that would provide financial support to the fishing industry and would seek to improve management of our oceans.Melanie Ann Pustay, director of the Justice Department's Office of Information Policy testified to the Senate Judiciary Committee that lawmakers need to protect against disclosures of material about cybersecurity and critical U.S. computer networks. [read post]
31 Aug 2020, 9:30 am
We will carefully monitor this dispute and FTC investigation, as any investigation has the potential to shine a light into how modern data collection practices fit into the currency legal and regulatory regimes and how the industry might respond. [read post]
