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26 Mar 2020, 6:02 am
On 25 March 2020, the European Banking Authority (EBA) issued the following statements related to the COVID-19 pandemic: Statement on the application of the prudential framework regarding default, forbearance and IFRS9 in light of COVID-19 measures. [read post]
22 Feb 2017, 11:06 am
Industry Matters In six out of ten industries – telecom, utilities, financials, health care, industrials, and materials – over 75% of companies have added at least one additional committee. [read post]
25 Feb 2012, 7:14 am
The Financial Regulatory Responsibility Act (S. 1615) would require the SEC and CFTC to provide clear justification for the regulations and determine the economic impacts of proposed rulemakings, including their effects on growth and net job creation. [read post]
25 Dec 2019, 9:06 pm
The Regulatory Review is pleased to highlight the top essays from 2019 authored by our staff contributors. [read post]
14 Dec 2009, 1:21 am
The sprawling 1279-page Bill, which must be reconciled with competing financial reform legislation pending in the Senate, would institute a number of reforms and initiatives that would have a dramatic effect on the financial services industry. [read post]
12 Mar 2024, 12:27 pm
A weakened administrative state could mean less regulatory oversight, potentially leading to more freedom for businesses in terms of operations and financial practices. [read post]
24 May 2013, 2:13 pm
According to the Financial Industry Regulatory Authority (FINRA) CRD, Blake Richards was registered with FINRA member firms from April 2000 until May 2013. [read post]
14 Oct 2013, 2:32 pm
The Financial Industry Regulatory Authority provides the largest forum in the US to resolve investor disputes against their stockbroker. [read post]
18 Jul 2012, 6:30 am
According to the arbitration award, which was decided by a three-person Financial Industry Regulatory Authority Inc. panel, the investor originally claimed $3.1 million in compensatory damages, alleging excessive trading and churning, common law fraud, gross negligence and other violations. [read post]
18 Jul 2012, 6:30 am
According to the arbitration award, which was decided by a three-person Financial Industry Regulatory Authority Inc. panel, the investor originally claimed $3.1 million in compensatory damages, alleging excessive trading and churning, common law fraud, gross negligence and other violations. [read post]
18 Jul 2012, 6:30 am
According to the arbitration award, which was decided by a three-person Financial Industry Regulatory Authority Inc. panel, the investor originally claimed $3.1 million in compensatory damages, alleging excessive trading and churning, common law fraud, gross negligence and other violations. [read post]
5 Aug 2021, 7:17 am
More Information This article is republished by permission of the author, Cynthia Marcotte Stamer. [read post]
18 Feb 2015, 9:48 am
Authored by Judy Selby and George Viegas* Our traditional approach to cyber risk and security has been focused on privacy and financial data. [read post]
23 Sep 2021, 6:59 pm
FINRA Bars Michel Shillin after Customers File Complaints On December 18, 2020, The Financial Industry Regulatory Authority (FINRA) reportedly barred Shillin (CRD#: 5927156, Altoona, WI) from association with any FINRA member in all capacities after he purportedly refused to appear for on-the-record testimony. [read post]
7 May 2023, 7:01 am
The burden of compliance weighs heavily on the applicant and often at a significant financial cost. [read post]
12 May 2022, 10:06 pm
Engage in a public process and exercise statutory authority to develop a comprehensive regulatory approach to crypto assets. [read post]
26 Feb 2024, 10:00 pm
Check out our Practical Guidance Author Center ! [read post]
14 Sep 2012, 9:39 am
Turetzky andquot;that these violations should be reported to the Financial Industry Regulatory Authority Inc. [read post]
1 Mar 2013, 3:12 pm
The circuit court found the arbitration agreement between the parties designated the National Association of Securities Dealers (NASD) as an exclusive arbitral forum, the NASD was unavailable to arbitrate because it no longer existed, and the court could not substitute the Financial Industry Regulatory Authority (FINRA) for NASD. [read post]
27 May 2019, 1:37 am
Nevertheless, the effective application of most of these provisions is subject to the intervention of regulatory texts which will only take place in 2020. [read post]
