Search for: "Financial Industry Regulatory Authority"
Results 6841 - 6860
of 11,238
Sorted by Relevance
|
Sort by Date
11 Jan 2021, 2:55 am
What is clear, however, is that the CfE represents the commencement, and not the culmination, of a trend in UK financial services policy that is likely to see increasing focus placed on cryptoassets and their relationship with regulation, which will no doubt bring changes that the industry will need to adapt to. [read post]
24 Apr 2023, 1:54 pm
I welcome guest post submissions from responsible authors on topics of interest to this site’s readers. [read post]
28 Oct 2019, 4:51 pm
” However, the Report notes that, in light of Brexit, the financial industry of the UK will face a number of hurdles in relation to the provision of services to EU based customers. [read post]
3 Feb 2020, 12:53 pm
According to public records on the Financial Industry Regulatory Authority’s website, the regulator has suspended and fined Wills after he allegedly borrowed $150,000 from a 90-year-old customer in violation of his member firm’s procedures. [read post]
6 Sep 2022, 3:50 pm
Other presenters at the event include other securities attorneys and arbitrators, including Richard Berry, Director of Dispute Resolution at the Financial Industry Regulatory Authority (FINRA). [read post]
2 Jul 2024, 9:05 pm
The Supreme Court recently found an unconventional agency funding mechanism acceptable in Consumer Financial Protection Bureau. [read post]
27 Oct 2009, 7:27 pm
Better Regulatory Information. [read post]
16 Jul 2021, 9:03 pm
Fisher claims that lack of regulatory oversight from HRSA, in part due to court decisions stripping the agency of its rulemaking authority, has permitted both drug manufacturers and health care providers to subvert the purpose of the program. [read post]
13 Apr 2020, 9:52 am
According to securities industry rules and regulations, breach of fiduciary duty, unsuitable investment advice, variable annuity switching, securities concentration, fraudulent misrepresentations and omissions of material facts, and conflicts of interest, are among the causes of action that may be available to investors in securities arbitration claims against brokerage firms with the Financial Industry Regulatory Authority (FINRA). [read post]
28 Jan 2021, 9:34 am
Biden’s earlier financial services regulatory picks include Rohit Chopra to head the Consumer Financial Protection Bureau and Gary Gensler to head the Securities and Exchange Commission. [read post]
5 Jan 2010, 2:48 pm
Financial Risks (liquidity risks, counterparty risks) Disclosure Risks Fraud Bribery and Foreign Corruption (if operating overseas) Disasters: material disruptions in the financial system, terrorist attacks, natural disasters such as earthquakes or tsunamis, weather extremes like cyclones or floods, or company-specific disasters such as industrial accidents. [read post]
29 Aug 2024, 6:57 am
SBA’s Proposed Changes to the Regulation In order to establish uniformity, SBA is proposing to add one additional “extraordinary circumstance” to the VetCert regulations (at 13 C.F.R. 128.203(j)), namely that a minority investor may be able to block amendments of the company’s corporate governance documents that would remove the shareholder’s authority to block any of the other extraordinary actions. [read post]
24 Jan 2024, 1:47 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
18 Mar 2022, 8:56 am
SCA is a new set of rules that the Financial Conduct Authority adopted in 2019 to help protect consumers from fraud when they are shopping online. [read post]
22 Nov 2017, 12:21 pm
The Financial Industry Regulatory Authority also recently put into place a new rule, known as 15-02, that makes pricing of illiquid securities like nontraded REITs easier to understand for investors. [read post]
6 May 2008, 11:04 am
 The Securities and Exchange Commission has been working closely with the Financial Industry Regulatory Authority. [read post]
14 Aug 2020, 10:54 am
RIDTPA “quite broadly” exempts “actions or transactions permitted under laws administered by the department of business regulation or other regulatory body or officer acting under statutory authority of this state or the United States. [read post]
20 Mar 2012, 3:35 pm
The Financial Industry Regulatory Authority (FINRA) is an independent regulator of security advisors and securities firms doing business in the United States. [read post]
4 Jun 2019, 6:30 am
But in certain industries, OSHA allows whistleblower cases for employees reporting unsafe work condtions. [read post]
31 Jul 2019, 7:02 am
Financial Conduct Authority (FCA) has finalized its guidance on crypto assets, clarifying which tokens fall under its jurisdiction. [read post]
