Search for: "Financial Industry Regulatory Authority"
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30 Dec 2022, 7:37 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
2 Mar 2018, 5:07 am
These steps might include organizing documents and creating a data room for purposes of buyer diligence, analyzing the businesses’ past performance and preparing to address any problems or outliers in performance and, in a highly regulated industry such as healthcare, engaging a third party to confirm regulatory compliance prior to the process. [read post]
15 Aug 2012, 2:09 am
Private placements have been offered by Cypress Leasing, which were then offered and sold by certain broker-dealers registered with the Financial Industry Regulatory Authority. [read post]
12 Jun 2011, 4:45 pm
In a bit of irony, he is a principal author of the 2010 Dodd-Frank act that attempts to reform the financial sector mainly by giving even greater discretion to the regulators. [read post]
23 May 2016, 8:27 am
These included issues regarding the best interest contract exemption, “’conflicts with federal securities laws and [Financial Industry Regulatory Authority] rules, and a lack of cost-benefit analysis of alternatives. [read post]
17 Feb 2021, 9:06 pm
Department of Education granted institutions of higher education special exemptions authorizing remote instruction without loss of accreditation. [read post]
12 Oct 2010, 6:47 am
That keeps costs and financial risks too high. [read post]
7 Mar 2024, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
17 Nov 2021, 8:31 am
The Financial Industry Regulatory Authority (FINRA). [read post]
2 Jun 2023, 9:05 pm
first appeared on The Regulatory Review. [read post]
16 Jan 2024, 9:03 pm
Industry interviews showed that trust in authorities’ competence and use of WGS data was low and fragile. [read post]
1 Apr 2015, 8:05 am
A second theme is its undermining certain regulatory regimes. [read post]
25 Sep 2014, 5:45 pm
I call for this reset to avoid a trade war in financial markets akin to that which worsened the Great Depression,” said the commissioner in remarks prepared for delivery to the Burgenstock Conference in Switzerland.Recently, the CFTC largely beat a court challenge to its cross-border guidance by industry groups, though the court warned the CFTC to be ready to defend the guidance if the agency ever uses it in an enforcement action or other lawsuit.Market fragmentation. [read post]
2 Nov 2022, 5:01 am
In others—for example, CBEST, the Federal Risk and Authorization Management Program (FedRAMP), and the U.S. [read post]
21 Dec 2017, 4:50 am
A subsidiary is a separate legal entity to its parent company and must meet regulatory capital requirements. [read post]
9 Sep 2020, 12:58 pm
It may mean expanding the authority of administrative subpoenas for corporate datasets. [read post]
17 Jun 2009, 3:33 am
Provide the SEC with the authority to collect information from the hedge fund industry and other investment pools, including the risks they may pose to the financial system. [read post]
2 Jun 2013, 9:30 pm
Nonetheless, the CFPB sits in a regulatory space it shares with other regulators; even its ostensibly “exclusive” rulemaking authority is subject to oversight, consultation, and coordination. [read post]
10 Jan 2018, 7:13 am
This would promote greater financial transparency in the marijuana industry and mitigate the dangers associated with conducting an all-cash business. [read post]
11 Feb 2024, 8:55 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Benitez’s customer complaints alleges that Benitez recommended unsuitable investments in various investments and makes allegations including common law fraud, gross negligence. [read post]
