Search for: "Financial Industry Regulatory Authority"
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11 Nov 2019, 1:13 pm
Deputy Director Johnson began the discussion by acknowledging that the CFPB’s scope of authority is not well-defined given its relatively recent creation. [read post]
5 Aug 2024, 6:02 pm
Financial and regulatory reportingFinancial and regulatory reporting function, including the preparation of statutory financial reporting, financial market disclosures (where relevant), and regulatory data collections, to relevant regulators including APRA and ASIC. [read post]
1 Mar 2024, 9:05 pm
Armstrong acknowledges that it is unlikely that family law will lose its regulatory influence on the commercial surrogacy industry entirely, but she urges regulators to assess whether alternative approaches may yield improved regulatory outcomes for commercial surrogacy. [read post]
30 Dec 2019, 5:47 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
9 Feb 2010, 11:12 am
But is it fair to impose a new regulatory and financial burden on cities and urban industries, while continuing to allow industrial agriculture to spread untreated sewage into the land? [read post]
15 Mar 2012, 7:56 am
Though the article’s authors seem to support a worldwide recall on metal-on-metal total hip replacement devices, the Medicines and Healthcare products Regulatory Agency (MHRA—the British answer to the FDA) seems to believe that clinical data on the subject is “mixed. [read post]
24 Feb 2023, 5:30 am
First Allied has a history of broker misconduct and disciplinary actions, according to the Financial Industry Regulatory Authority (FINRA). [read post]
26 Aug 2021, 9:03 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
8 Sep 2021, 5:46 am
The training must occur within one year of the employee’s hire date and must include information on how to identify actual or attempted financial exploitation of eligible adults and how to report such exploitation to the regulatory authorities. [read post]
30 Jun 2023, 12:04 pm
A specified hierarchy or authority structure. [read post]
17 Nov 2010, 8:04 am
- Posted by Arthur Owens Effective September 27, 2010, a new rule adopted by the Financial Industry Regulatory Authority (“FINRA”) requires timely notice to FINRA of certain corporate actions. [read post]
12 Aug 2019, 7:50 am
You could still leave the door open to cyber thieves if you simply close or minimize your browser or type in a new Web address when you’re done using your online brokerage account, warns the broker self-regulatory body, the Financial Industry Regulatory Authority (FINRA). [read post]
22 Apr 2015, 6:02 am
On March 25, 2015, the Securities and Exchange Commission (“SEC” or “Commission”) proposed an amendment to Rule 15b9-1 (the “Proposal”) under the Securities Exchange Act of 1934 (“Exchange Act”) that, if adopted, would close an historical exception to the general requirement that registered broker-dealers must become members of a registered national securities association (“Association”), effectively, the Financial… [read post]
13 Jun 2008, 5:01 pm
The Securities and Exchange Commission (SEC) requires that brokers and dealers register with the SEC and a self-regulatory organization such as the Financial Industry Regulatory Authority. [read post]
3 Dec 2010, 6:43 am
Earlier this year, a three-person Financial Industry Regulatory Authority panel ordered the firm to pay $20.6 million to the unsecured creditors of the Bayou Group. [read post]
26 Apr 2012, 5:01 am
House Financial Services Committee Chairman Spencer Bachus (R-AL) and Rep. [read post]
22 Apr 2021, 7:16 am
Even though the Bill still has to make its way through the House and the Senate to become law, some industry participants are already making plans to move to Texas due to the potentially welcoming regulatory environment. [read post]
3 Apr 2023, 6:05 am
Support Governmental Stakeholders, Including Consumer Protection and Data Authorities Countries should ensure that foundational legal and regulatory frameworks for consumer protection and privac [read post]
14 Jan 2021, 9:14 am
In a statement, Acting Comptroller Brian Brooks cautioned that granting chartering authority to the CFPB could blur the division of regulatory labor set up in the wake of the 2008 financial crisis, pushing back on a key recommendation from a CFPB task force report released earlier this week. [read post]
25 Jul 2024, 1:58 am
All financial products should disclose some minimum basic sustainability information, covering environmental and social characteristics. [read post]
