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27 May 2023, 9:05 pm
With that said, whether and how the SEC should regulate in the ESG space, and limitations on its authority to do so, are separate questions. [read post]
11 Mar 2009, 9:37 am
The hedge fund industry believes that a systemic risk regulator can fulfill its mandate to protect the financial systemwithout publicly disclosing all the proprietary information of financial institutions.Positing that a systemic risk regulator must have access to information in order to adequately assess potential risks to the financial system, Mr. [read post]
19 Jun 2019, 7:37 am
The “Delaware in a Fintech Future” report, co-authored by the Delaware Prosperity Partnership, First State Fintech Lab and the University of Delaware’s Institute for Public Administration, looks at the existing fintech ecosystem in the state as well as strategies for growth as the fintech industry continues to gain power. . . . [read post]
17 May 2010, 4:21 pm
By Joe Wallin and William Carleton On a voice vote today (7 pm Eastern time, just a few minutes ago), the United States Senate amended Senator Dodd's financial regulatory reform bill, fixing what had been previously proposed for startup companies and angel investors.The amendment, SA 4056, was co-sponsored by Senator Dodd and many others, and we believe it largely incorporates what Senators Bond, Cantwell, Warner and Brown introduced Thursday last week as SA 4037. [read post]
15 Jun 2024, 6:42 am
Financial and Regulatory Challenges High implementation costs and regulatory compliance remain significant barriers to adoption. [read post]
18 Oct 2018, 12:20 pm
Meantime, the Financial Industry Regulatory Authority suspended her after she failed to cooperate with its probe into misconduct allegations. [read post]
25 May 2018, 1:28 pm
The specific scope is not yet clear, but according to industry sources inside China, it is likely that Chinese authorities will take a broad and ambiguous approach to enforcement of this particular review. [read post]
3 Apr 2012, 9:25 am
Learn more about the author of this page, Mark Wahlstrom by visiting Wahlstrom & Associates web page. [read post]
3 Apr 2012, 9:25 am
Learn more about the author of this page, Mark Wahlstrom by visiting Wahlstrom & Associates web page. [read post]
4 Feb 2021, 4:49 pm
Many industries, including the practice of law, have codes of “professional conduct” that outline the things practitioners should and shouldn’t do. [read post]
26 Apr 2009, 7:06 am
• In the last two months, the Securities and Exchange Commission and the Financial Industry Regulatory Authority seem to be uncovering multiple Ponzi schemes each week. [read post]
15 Aug 2024, 9:33 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
25 Mar 2024, 10:00 pm
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
7 May 2024, 1:06 pm
Working with the team at Hepworth Holzer helped me focus on getting well and not on the financial worries of my situation. [read post]
16 Dec 2009, 6:21 am
A lot is happening in the financial regulatory overhaul bill that moved swiftly from committee through the US House of Representatives this week. [read post]
21 May 2018, 12:18 pm
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]
7 Jun 2024, 7:05 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
28 Mar 2012, 12:33 pm
If investors have suffered losses they may be able to pursue recovery of their losses through the Financial Industry Regulatory Authority (FINRA) dispute resolution claims process. [read post]
26 Mar 2010, 7:40 am
However you may feel about financial regulatory reform in the United States, the provisions in Sen. [read post]
10 May 2012, 2:00 am
The JOBS Act explicitly prohibits the SEC and the Financial Industry Regulatory Authority (FINRA) from adopting or maintaining any rule in connection with an initial public offering by an emerging growth company that would restrict a research analyst from participating, alongside other associated persons of a brokerdealer, in meetings and communications with the management of an emerging growth company. [read post]
