Search for: "Financial Industry Regulatory Authority"
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5 Jul 2022, 1:32 pm
Silver Law Group represents clients in petitions with Financial Industry Regulatory Authority (FINRA), a government-authorized not-for-profit organization that oversees U.S. broker-dealers. [read post]
26 Nov 2020, 9:05 pm
Pfizer Inc. and BioNTech requested an emergency use authorization from the U.S. [read post]
2 Nov 2020, 9:17 am
Jain commented that regulators can facilitate responsible innovation in the financial industry by engaging with key stakeholders, collaborating with other regulators, and providing regulatory clarity. [read post]
3 Nov 2023, 10:39 am
They’re under the watchful eye of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). [read post]
28 Mar 2008, 4:06 am
On 26 March, the Financial Services Authority (FSA) published a summary of a review carried out by its internal audit division into its supervision of Northern Rock. [read post]
2 Aug 2010, 2:05 am
In July, the Michigan Supreme Court ruled that a five-year-old set of regulations promulgated by the Michigan Office of Insurance and Financial Regulation (the "OIFR") banning the use of credit scores in setting personal insurance premiums was an over extension of the insurance regulator’s statutory authority. [read post]
25 Jan 2021, 8:50 pm
On 22 January 2021, the FCA published an amended and restated memorandum of understanding (MoU) between the US Securities Exchange Commission (SEC) and the UK Financial Conduct Authority (FCA). [read post]
15 Oct 2021, 8:40 pm
On 14 October 2021, the Financial Conduct Authority (FCA) published a speech by its new Executive Director for Markets, Sarah Pritchard, in which she discusses the key themes for the FCA which are, partnership, priorities and future predictions. [read post]
2 Jan 2010, 8:20 am
Editor's Note: Elizabeth Warren is the Leo Gottlieb Professor of Law at Harvard Law School, and the Chair of the Congressional Oversight Panel established in 2008 to review the current state of financial markets and the regulatory system. [read post]
12 Feb 2021, 2:12 am
In the UK, the AML supervisor for cryptoasset businesses, the Financial Conduct Authority (FCA), has extended the deadline under which existing cryptoasset firms require registration for AML supervision purposes. [read post]
9 Nov 2017, 3:44 pm
This definitional change will affect certain otherwise-authorized transactions with the expanded group of such officials. #### __________DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Parts 740 and 746[Doc [read post]
1 Oct 2019, 1:11 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Shiraishi concern allegations of variable annuity sales practices. [read post]
12 Sep 2019, 8:47 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Eads concern allegations of variable annuity sales practices. [read post]
10 Oct 2017, 8:04 am
The Bill follows an independent review led by Carol Brady in 2016, which recommended that regulatory responsibility for claims management companies (CMCs) be transferred from the Ministry of Justice’s Claims Management Regulation Unit to the Financial Conduct Authority (FCA) in order to effect a “step change” in the sector’s regulation. [read post]
17 Jan 2020, 6:15 am
The author would like to thank Bikaramjit S. [read post]
29 Dec 2009, 7:24 am
Resolution Authority The House bill creates a new resolution authority which can be invoked with respect to a bank holding company, a systemically important financial company, an insurance company, or any other financial company, instead of bankruptcy. [read post]
23 Mar 2011, 6:33 am
Yet another example is Obama’s (and before him, Bush’s) reliance on existing regulatory authorities to resolve the financial crisis. [read post]
December 21, 2009 – Environmental Law Settlements, Decisions, Regulatory Actions and Lawsuit Filings
21 Dec 2009, 10:57 am
December 21, 2009 – A summary review of environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
24 Jan 2014, 2:16 pm
To the extent that some brokerage firms failed to perform the necessary due diligence and/or made unsuitable investment recommendations, such firms may be liable for investment losses through arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
24 Sep 2024, 2:00 am
Financial Services Regulation Trackers provides up to date information on legislation and key administrative proceedings from federal, state and local banking authorities. [read post]
