Search for: "Financial Industry Regulatory Authority"
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27 Jul 2020, 2:41 pm
Regulatory Approvals and Filings. [read post]
3 Dec 2020, 9:05 pm
Environmental Protection Agency (EPA) issued a final rule determining that a law designed to encourage financial responsibility in specific environmentally hazardous industries does not apply to the electric power generation, transmission, and distribution industries. [read post]
9 Aug 2014, 8:16 am
The economic turmoil of 2008 and thereafter, along with the advancement of quasi public self regulatory soft law (the Santiago Principles) substantially ameliorated the sense fo threat. immediately before the Originally SWFs raised concern. [read post]
30 Mar 2017, 9:44 am
Extractive Industries Transparency Initiative (EITI)) • MNE internal norms • Social License for extractives 8. [read post]
26 Mar 2007, 7:06 am
Tim is a published author and frequent speaker on accounting and financial topics. [read post]
21 Oct 2022, 9:40 am
The Consumer Financial Services Association of America (CFSA), an industry trade organization for small dollar lenders, challenged the rule and also challenged the CFPB’s constitutionality. [read post]
17 Dec 2008, 4:48 pm
" In the Bush administration, regulatory agencies have been in bed with the industries they regulate. [read post]
16 Nov 2015, 9:01 am
To that end I attended a lively and interesting seesion on "Promoting human rights in agricultural supply chains: From Palm Oil Workers in South East Asia to Women in Kenya's Horticulture Industry. [read post]
11 Jul 2023, 11:15 am
Key recommendations The outcome report sets out a series of recommendations to the government, the Financial Conduct Authority (FCA) and industry. [read post]
29 Oct 2015, 6:18 am
This new 797-page rule, however, significantly exceeds the scope of the required Dodd-Frank amendments and relies heavily on the CFPB’s discretionary regulatory authority. [read post]
18 Mar 2024, 3:00 am
In addition, the SEC oversees the Public Company Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC), and the Financial Accounting Standards Board (FASB). [read post]
20 Nov 2019, 8:04 am
Section 3 of the report provides a global legal and regulatory overview of developments in open banking, highlighting how some jurisdictions require banks to share customer-permissioned data and require third parties to register with a particular regulatory or supervisory authority. [read post]
8 May 2013, 12:36 pm
FINRA, the Financial Industry Regulatory Authority, fears that the new employee privacy laws may directly conflict with securities rules and threaten investor protection. [read post]
8 May 2013, 12:36 pm
FINRA, the Financial Industry Regulatory Authority, fears that the new employee privacy laws may directly conflict with securities rules and threaten investor protection. [read post]
3 Aug 2023, 11:22 am
According to The Financial Industry Regulatory Authority (FINRA), between May 4, 2018, and June 29, 2018, FSC Securities, Royal Alliance, SagePoint Financial and Woodbury Financial negligently failed to communicate to investors that GPB Capital Holdings, LLC failed to timely make required filings with the Securities and Exchange Commission, including filing audited financial statements. [read post]
10 Mar 2017, 11:42 am
Develop controls designed to monitor activity of authorized users and to detect unauthorized access to nonpublic information. [read post]
22 Feb 2023, 5:02 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
27 Jul 2018, 9:15 am
He said there is widespread governmental support for the shift away from LIBOR, including former CFTC Chairman Tim Massad, Governor Powell of the Fed, the Governor of the Bank of England, and the Chief Executive of the Financial Conduct Authority. [read post]
28 Aug 2020, 4:00 am
Peter Douglas Monson of Blaine, Minnesota submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he allegedly exercised discretion and engaged in excessive and unsuitable trading in violation of NASD Conduct Rule 2510(b) and FINRA Rules 2111 and 2010. [read post]
13 Apr 2015, 4:22 am
Health Industry Targeted: The health industry (including pharmaceuticals, medical devices and health services) again had the highest number of securities class action lawsuits. 44 of the 2014 securities suits involved companies in the health industry, representing 26% of all securities suit filings during the year, compared to 36 (23%) in 2013. [read post]
