Search for: "Financial Industry Regulatory Authority"
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26 Apr 2012, 3:25 pm
Scott Garrett (R-NJ), who authored HR 2308, the SEC Regulatory Accountability Act that similarly seeks to enhance the Commission’s cost-benefit analysis in similar fashion as the guidance, still plans to keep pushing for his bill’s passage. [read post]
23 Mar 2017, 11:24 am
The claim was filed in 2014 in the Financial Industry Regulatory Authority Inc. [read post]
10 Nov 2020, 7:19 am
Such a large-scale reform may be difficult to sell when many current economic problems have arisen because of the COVID-19 pandemic rather than from specific financial system defects, although authors like Seligman contend that such systemic financial defects still exist and must be addressed.SEC personnel. [read post]
12 Oct 2020, 12:08 pm
Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (FINRA)[1]. [read post]
6 Oct 2020, 7:27 am
In a decision that will influence how policyholders and insurers around the world address business-interruption coverage for COVID-19 losses, the English High Court recently handed down its much-anticipated judgment in the “Test Case,” The Financial Conduct Authority (FCA) v. [read post]
18 Jun 2012, 4:38 am
“The problem with social media companies is generally their lack of transparency with regulatory authorities,” she said. [read post]
11 Nov 2009, 4:52 pm
The Madoff scandal also puts the Financial Industry National Regulatory Authority (FINRA) in a bad light for failing to respond to Madoff tips as well. [read post]
20 Sep 2023, 5:52 am
There are regulatory authorities like the SEC and the Financial Industry Regulatory Authority (FINRA) that help you if you have been defrauded. [read post]
27 Oct 2020, 9:05 pm
There exist at least six different federal agencies that have regulatory authority over financial institutions that issue small business loans, in addition to individual state regulators. [read post]
15 Dec 2020, 12:24 pm
What Are the Legal and Regulatory Considerations? [read post]
6 Jun 2024, 12:53 am
While bankruptcy itself does not automatically result in the loss or suspension of a professional license, licensing boards and regulatory agencies may have specific requirements or guidelines regarding financial responsibility and disclosure. [read post]
18 Jan 2023, 7:44 am
Brian then turns to the crypto regulatory and enforcement space to discuss Coinbase’s recent settlement with New York’s Department of Financial Services. [read post]
6 Dec 2022, 11:51 am
The Human Foods Program should have clear lines of authority. [read post]
18 Jul 2019, 2:17 pm
Attorney's Offices for the Eastern District of New York and District of Massachusetts, the Federal Bureau of Investigation, the Royal Canadian Mounted Police, the British Columbia Securities Commission, the Malta Financial Services Authority, the Mauritius Financial Services Commission, the Hong Kong Securities and Futures Commission, the Monetary Authority of Singapore, and the Financial Industry Regulatory… [read post]
16 Oct 2022, 9:05 pm
Alas, many industry stakeholders have discovered that an extremely effective, stealthy way to undermine the rulemaking process without changing the substance or authority of agencies is to encumber them with procedures of breathtaking complexity. [read post]
30 Mar 2018, 10:26 am
The NYDFS Guidance, along with new guidelines in Korea and Malaysia, illustrate the growing concerns about regulating virtual currency exchanges across the world. [1] The Korea Financial Intelligence Unit is the primary government agency coordinating the South Korea’s AML and Combating the Financial Terrorism (CFT) policy. [2] The Financial Supervisory Service is responsible for the oversight and regulation of institutions that operate in the South Korean… [read post]
29 Apr 2019, 6:23 pm
While the CFTC has enforcement authority, they do not have the authority to directly supervise the bitcoin trading market. [read post]
8 Oct 2015, 4:57 am
And if the DWC has no expertise, then how can the Division routinely test, qualify, and scrutinize (and in fact has disciplinary authority) medical professionals that are in the QME system? [read post]
3 Nov 2021, 7:05 am
”5 As the market capitalization of stablecoins has soared, this particular class of digital assets has garnered increasing attention by the industry and regulatory agencies in the last year. [read post]
27 Feb 2016, 12:15 pm
The book shows how customer disputes are litigated in the Financial Industry Regulatory Authority (FINRA) arbitration process. [read post]
