Search for: "Financial Industry Regulatory Authority"
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27 Jan 2020, 1:42 pm
Securities laws and the Financial Industry Regulatory Authority (FINRA) have established standards of care that brokers and brokerage firms are subject to. [read post]
6 Jul 2022, 10:12 am
Investors may choose to file a claim with the Financial Industry Regulatory Authority (FINRA), a government-authorized not-for-profit organization that oversees U.S. broker-dealers. [read post]
6 Jul 2017, 6:36 am
In terms of clarifying regulatory expectations, action undertaken since December 2016 includes: the BCBS publishing in June 2017 the final version of its revised guidance on correspondent banking; the FATF deciding in June 2017 that there will be no further work on the definition of correspondent banking given the lack of consensus by industry and the authorities about the change of definition. [read post]
11 May 2023, 5:22 am
According to the comment letter, GDCA is a “global, voluntary Self-Regulatory Association for the digital asset and cryptocurrency industry. [read post]
18 Jun 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]
20 Apr 2017, 8:57 am
The FCA will continue to support and drive cultural change across the industry; financial crime and anti-money laundering (AML). [read post]
14 Jun 2024, 10:25 am
The staffers, all in the firm’s wealth- and investment-management unit, were “discharged after review of allegations involving simulation of keyboard activity creating impression of active work,” according to disclosures filed with the Financial Industry Regulatory Authority. [read post]
8 Jul 2013, 9:30 pm
This post draws from the author’s upcoming article in the Georgia State University Law Review, “The Efficacy of Cybersecurity Regulation." [read post]
7 Mar 2010, 11:01 am
Cross-Border Hedge Fund Industry Praises BaFin Approach tp Short Sale DisclosureU.S. and German hedge fund industry groups commended the regulatory approach to short sale disclosure adopted by Germany’s Federal Financial Supervisory Authority (BaFin), athough the Managed Funds Association has concerns about the details of the requirements for investors to disclose net short sale positions at certain thresholds. [read post]
2 Jul 2018, 2:34 pm
In addition, Fischer has also been subject to one regulatory action and one civil action in which the SEC and the Federal Industry Regulative Authority (FINRA) sanctioned Fischer for various violations of the securities laws. [read post]
14 Nov 2021, 9:09 pm
These prohibitions include the revocation of the following regulatory powers: the ability to (1) terminate a bank’s FDIC deposit insurance because it does business with the cannabis industry, (2) penalize banks for providing financial services to a marijuana related business, and (3) encourage banks not to provide services within the cannabis industry. [read post]
5 Jan 2012, 6:46 am
The Government Accountability Office report produced in response to the Dodd-Frank Act failed to make a strong recommendation between two primary regulatory options – a multi-faceted regulatory approach in which different federal and state agencies would exercise authority over different aspects of on-line P2P lending, or a single-regulator approach, in which a single agency (most likely the new Consumer Financial Protection Bureau) would be given total… [read post]
7 Oct 2011, 9:04 pm
The Financial Industry Regulatory Authority is a top candidate for the role and has expressed interest in taking on this new responsibility. [read post]
16 Jun 2022, 9:05 pm
Second, we present evidence on public-company disclosures consistent with issuers’ understanding that the SEC has long had authority to take regulatory action in this area. [read post]
2 Apr 2019, 4:56 am
Risk factors generally include information concerning: the issuer’s financial situation; the nature of the security or its underlying; the issuer’s business activities and industry; legal and regulatory risk; internal control risk; and environmental, social and governance risks. [read post]
9 Feb 2024, 6:00 am
The change is not monumental as CUSIP has a long history of managing numbering programs for the financial services industry. [read post]
26 Mar 2014, 9:55 pm
The turmoil in the financial sector during the recent crisis encouraged some industry experts to move to the SEC, and their knowledge, Paredes said, has contributed to improving the Commission’s regulatory capacity. [read post]
14 Mar 2012, 9:10 am
As a representative of New York City, the financial industry is a very important part of our economy. [read post]
15 May 2023, 9:12 am
| Scholars assess what it will take to support sustainability within the global fashion industry. [read post]
11 Sep 2019, 12:17 pm
“So far this year, there have been 1,138 arbitration cases—about half the number of new cases filed at the Financial Industry Regulatory Authority this year—alleging such a violation. [read post]
