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23 Sep 2021, 8:41 am
In addition, digital assets may not be subjected to the same custody and capital safeguards as securities, thus subjecting the investors to potentially much greater risk of loss if a service provider experiences financial strains, they noted.Any actions taken by the SEC will not preclude other regulators from exercising their statutory authority with respect to stablecoins and other digital assets, the group noted. [read post]
21 Sep 2011, 2:00 am
Fourth, U.S. regulators have created significant discretion and flexibility in terms of timing for both themselves and the industry. [read post]
19 Jul 2017, 1:35 pm
Before a final compliance date of June 3, 2017, several industry associations filed a petition with the EPA seeking reconsideration. [read post]
3 Jan 2020, 7:09 am
In fact, the SEC and Financial Industry Regulatory Authority (“FINRA”) are already investigating the broker-dealers who recommended GPB investments. [read post]
8 Oct 2020, 11:52 am
Filing a Complaint Against your Brokerage Firm Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
31 Mar 2022, 8:51 am
CCOs also represent the interests of their firm before regulatory authorities and regulators. [read post]
4 Aug 2021, 9:03 pm
Although both state and federal authorities administer the Clean Water Act, the law recognizes that states “lack regulatory authority over Indians in Indian country unless clearly authorized to do so. [read post]
17 Oct 2014, 10:12 am
” UBS continues to face action from its clients via arbitration claims filed with the Financial Industry Regulatory Authority (“FINRA”). [read post]
14 Mar 2016, 9:30 pm
Offering “affirmative financial incentives” to those who come forward to report corporate wrongdoing cements the whistleblower’s role in regulatory enforcement, Krause noted. [read post]
7 Mar 2011, 6:56 pm
On a separate matter of industry concern, the Commissioner said that, as it considers proposals for defining and registering swap dealers, the CFTC is cognizant of the importance of establishing an appropriate regulatory framework for the cross-border swaps activities of foreign banks. [read post]
18 Mar 2022, 9:06 pm
Currently, U.S. fashion brands face little regulatory intervention. [read post]
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]
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]
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]
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]
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]
