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9 Jan 2018, 3:45 pm
Schroeder, the Executive Vice President and Head of Enforcement at the Financial Industry Regulatory Authority, recently discussed FINRA’s Enforcement Department’s day-to-day activities and goals at an event sponsored by the Securities Industry and Financial Markets Association (“SIFMA”). [read post]
11 Feb 2019, 9:37 am
According to one trade industry group, a number of issues exist with the new law that can be problematic. [read post]
10 Jun 2011, 10:11 am
These two major privacy and data security reports signal the Department of Commerce’s interest in taking an active role in shaping privacy and data security policy. [read post]
24 Jan 2008, 8:02 am
The result is an equilibrium of compliance that could exceed the level of transparency that would exist without the collective action, thus giving more sharpness and binding effect to any best practices that may exist in the industry and providing a more cost effective enforcement avenue for those best practices. [read post]
12 Mar 2010, 11:08 pm
Because variable annuities rely so much on the stock market, the Securities and Exchange Commission considers them securities. [read post]
11 Feb 2013, 8:28 am
This commitment has been prompted by concerns about national security, the environment, and the U.S. balance of payments. [read post]
31 Oct 2023, 6:26 am
And yet maybe, just maybe, that is for the best. [read post]
25 Feb 2021, 2:52 am
It’s been an industry that was ravaged. [read post]
13 Apr 2014, 12:00 am
Increased competition is the best way to significantly reduce these costs. [read post]
5 Aug 2024, 6:26 am
A business law attorney can perform the following functions for you: Prepare necessary filings and paperwork when you are beginning or running your business Ensure your company stays one step when it comes to compliance by advising on the law and reviewing your operations Provide you with strategic advice when your business wants to engage in transactions Create a potential exit strategy when you want to monetize your business and cash out Negotiate, draft, and review any contracts to… [read post]
29 Jan 2021, 10:46 am
Fishing as an Industry Fishing, a $401 billion global industry, provides 20% of the protein intake for nearly half of the world’s population, and global fish consumption has been on the rise for almost 60 years. [read post]
9 Jun 2022, 6:00 am
And regulation should at best encourage innovation, while at the very least avoiding impeding it. [read post]
25 May 2011, 8:59 pm
" The new threat is "[t]he prospect of an intentional, or terrorist, attack on our food and agriculture industry raises grave concerns that present challenges for producers and policy makers alike. [read post]
15 Dec 2020, 8:09 am
Regulation Best Interest, a 2019 Securities and Exchange Commission (SEC) rule requires that a broker/dealer and its associated persons must always act in the best interest of their retail customers when recommending securities or investment strategies involving securities. [read post]
9 Nov 2010, 7:38 am
These claims are arbitrated in the securities industry, they rarely go to court. [read post]
17 Jan 2014, 9:50 am
But that’s not a border-security perspective. [read post]
22 Jan 2024, 8:08 am
Securities Regulator Suspends Lucas Hales for Private Securities Transactions The Financial Industry Regulatory Authority (FINRA) has reportedly suspended broker Lucas Hales (CRD #6254897) from the securities industry for 12 months and issued a fine of $10,0000 as of on January 18, 2024. [read post]
3 Apr 2007, 2:21 pm
., will continue to set the industry standard by delivering the best off the shelf EDD software available. [read post]
4 Oct 2022, 9:02 am
EU leaders believe this is the best way to secure the EU’s energy supply in the face of Russian aggression while maintaining their commitment to fighting climate change. [read post]
15 Apr 2012, 10:59 am
" and the opportunities and potential pitfalls of widespread adoption within the healthcare industry, including privacy and security issues. [read post]
