Search for: "Financial Industry Regulatory Authority"
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13 Oct 2023, 4:00 am
George Santos with stealing the identities of family members and using donors’ credit cards to spend thousands of dollars, intensifying the legal peril facing Santos five months after he was charged with a host of other financial crimes. [read post]
12 Oct 2023, 7:48 am
” He finds that “their speeches and actions suggest they see antitrust as simply another in the myriad of regulatory tools that can and should be used to promote a particular set of industrial and social policies. [read post]
10 Oct 2023, 3:53 pm
FINRA (The Financial Industry Regulatory Authority Inc.) has been penalizing broker-dealers for their involvement in selling high-risk GPB private placements, which were limited partnerships investing in income-producing businesses. [read post]
10 Oct 2023, 10:51 am
This can lead to more financial security and additional opportunities, like reallocation of those funds to other necessary endeavors. [read post]
10 Oct 2023, 9:42 am
’s broader financial regulatory regime contained in the U.K. [read post]
9 Oct 2023, 11:00 pm
Bank Regulatory Counsel Resource Kit and Financial Services Regulations Fundamentals Resource Kit provide guidance related to fair credit reporting act compliance and include practice notes, checklists, articles, and templates to aid practitioners in advising financial institutions in this area. [read post]
9 Oct 2023, 1:21 pm
Kim files this “Complaint” against Defendant Financial Industry Regulatory Authority, Inc. [read post]
7 Oct 2023, 3:00 am
” This strategic approach convinced authorities of our necessity and led to collaborative policy drafting that remains relevant today. [read post]
6 Oct 2023, 9:00 am
Roger Marshall, a Republican who threatened to withhold his support for the National Defense Authorization Act if the CCCA didn’t get a vote. . . . [read post]
5 Oct 2023, 4:00 pm
The ex-Investment Network stockbroker, who was fired by the brokerage firm in August, also was barred by the Financial Industry Regulatory Authority (FINRA) after he refused to testify in an ongoing investigation into his purported selling of these alternative investments. [read post]
5 Oct 2023, 8:55 am
Namely, let’s leverage all of our financial tools together to tackle the tropical deforestation crisis. [read post]
4 Oct 2023, 12:46 pm
The Mortgage Bankers Association and other financial industry trade groups submitted amicus briefs arguing that, however SCOTUS resolves the Constitutional funding question, it should decline to invalidate CFPB historic rules, regulations and acts, because doing so would upset settled industry expectations. [read post]
3 Oct 2023, 9:01 pm
The SEC alleged that the uncorrected press releases were materially misleading because the Company had not secured the appropriate regulatory approval and the statements were made in the early stages of the pandemic, when COVID-19 testing was limited. [read post]
3 Oct 2023, 5:21 pm
He is a frequent author on the Hotel Law Blog. [read post]
3 Oct 2023, 10:06 am
About the Author Alejandro E. [read post]
3 Oct 2023, 8:00 am
Check out our Practical Guidance Author Center ! [read post]
3 Oct 2023, 8:00 am
Check out our Practical Guidance Author Center ! [read post]
3 Oct 2023, 7:26 am
., a financial advisor based in New York, finds himself in the spotlight as the Financial Industry Regulatory Authority (FINRA) issues an Acceptance, Waiver, and Consent (AWC) order. [read post]
3 Oct 2023, 6:30 am
The new dispensation called for “a judicial willingness to appreciate the legitimate and constitutionally-ordained province of administrative agencies; to admit the expertise of those agencies in policy-laden or polycentric issues; to accord their interpretations of fact and law due respect; and to be sensitive, in general, to the interests legitimately pursued by administrative bodies and the practical and financial constraints under which they operate. [read post]
2 Oct 2023, 10:56 am
For further updates on regulatory developments in the ESG space please visit our Financial Services Regulatory Developments in ESG hub. [read post]
