Search for: "Financial Industry Regulatory Authority"
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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]
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]
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]
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]
12 Feb 2013, 11:44 am
The 18-page report authored by Nicole T. [read post]
4 Mar 2024, 10:00 pm
Read now » Related Content Federal Deposit Insurance Corporation Explore the role of the FDIC and its functions in the U.S. financial regulatory system. [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]
6 Apr 2019, 4:00 am
Links to material posted on the Internet highlighted in COLORDepartment of Financial Services (DFS): Oversight of the Title Insurance Industry (2017-S-10) While DFS has worked to strengthen its oversight of the industry through the regulatory process, enforcement of the existing regulations has lagged.Office of Children and Family Services (OCFS): Access Controls Over Selected Critical Systems (2017-S-56) Controls over six OCFS systems… [read post]
6 Apr 2019, 4:00 am
Links to material posted on the Internet highlighted in COLORDepartment of Financial Services (DFS): Oversight of the Title Insurance Industry (2017-S-10) While DFS has worked to strengthen its oversight of the industry through the regulatory process, enforcement of the existing regulations has lagged.Office of Children and Family Services (OCFS): Access Controls Over Selected Critical Systems (2017-S-56) Controls over six OCFS systems… [read post]
15 Jul 2012, 10:58 am
However, the staff noted areas in IFRS that are still underdeveloped, such as accounting for extractive industries, insurance, and rate-regulated industries. [read post]
3 Apr 2011, 9:27 pm
The pushback from various segments of the financial services industry has been considerable, leading to an extension of the time allowed for official comments through April 12, 2011. [read post]
6 Jun 2022, 6:18 am
Are there any aspects of climate-related financial risk related to digital assets that the Commission should address within its statutory authority? [read post]
1 Oct 2009, 3:31 am
Elaine Halchin, The Coalition Provisional Authority (CPA): Origin, Characteristics, and Institutional Authorities, Cong. [read post]
20 Oct 2008, 9:41 pm
According to the Financial Industry Regulatory Authority, Ray Londo was fired from LPL this year because of his failure to abide by company policy related to borrowing from or lending money to clients. [read post]
