Search for: "Financial Industry Regulatory Authority"
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15 Aug 2012, 9:57 pm
Certain broker-dealers registered with the Financial Industry Regulator Authority then sold the private placements. [read post]
19 May 2017, 8:52 am
The Financial Industry Regulatory Authority has barred Yocum from working as a financial broker or associating himself with companies that sell securities to members of the public. [read post]
10 Nov 2011, 11:42 am
Earlier this summer, the Financial Industry Regulatory Authority (FINRA) issued a regulatory notice on leveraged and inverse ETFs. [read post]
6 Jul 2010, 4:34 am
FASB & IASB Issue Joint Proposal on Revenue Recognition Recently, the FASB and IASB issued a joint proposed standard for a new approach to revenue recognition that would align the financial reporting of revenue from contracts with customers and related costs and create a single standard for IFRSs and GAAP that would be applied across various industries and capital markets. [read post]
29 Oct 2019, 1:03 am
Using her experience as Senior Legal Counsel at River Island, Giulia compared a variety of technical solutions on offer to the fashion and legal industry, whilst also analysing the regulatory framework impacting these solutions.Again, like her fellow co-founders, Giulia offered a highly practical and extremely innovative analysis of the technological solutions available to the fashion industry. [read post]
21 Sep 2020, 6:08 am
With many tech companies less than three decades old, their maturity as companies and as an industry pales in comparison to other industries such as the finance, automotive or aviation sectors. [read post]
8 Nov 2023, 7:05 am
Regulatory considerations and extensive paperwork—from engagement letters and contracts, legal forms, and financial records—must be accurate and complete during onboarding. [read post]
22 Nov 2023, 2:46 pm
Brexit has seen increased domestic political steer of national regulatory authorities. [read post]
1 Jul 2018, 9:30 pm
This is particularly important where the public may distrust a legislator’s impartiality in regulating wealthy industries that make major political contributions, such as the financial services or pharmaceutical industries. [read post]
22 Sep 2021, 7:00 am
In 2019 and 2020, the PCAOB interviewed firm leaders as well as engagement partners on audits in the banking industry and issuers with CECL-related assets. [read post]
24 May 2024, 6:00 am
At the upcoming hearing, the big banks are likely to face one key question: To what extent, if at all, should banks be financially responsible in situations where consumers authorize Zelle payments to fraudsters? [read post]
19 Jan 2021, 9:06 pm
first appeared on The Regulatory Review. [read post]
1 Nov 2010, 5:55 am
They also welcomed the important step made by the European Member States and the European Parliament in negotiations on the Alternative Investment Fund Management Directive, which is expected to be implemented in November with a vote by Parliament.The US hedge fund industry earlier praised Secretary Geithner’s call for the European Union to participate in a globally coordinated approach toward financial regulatory reform and resist protectionist-driven initiatives in… [read post]
25 Aug 2016, 7:40 am
Lower the standard for disclosure of CSI from “having jurisdiction over [the] supervised financial institution” to disclosure if it is “relevant to the exercise of the Agency’s statutory or regulatory authority. [read post]
30 Mar 2024, 8:08 pm
The data will be used by the FCC to prepare its annual report to Congress on cable industry prices. [read post]
2 Aug 2024, 6:00 am
Industry Developments SPOTLIGHT: Is Visa Readying for an Expiration of Cards? [read post]
30 Dec 2010, 6:56 am
A key question, as yet unanswered, is whether the sale and/or purchase of structured settlement annuities constitutes a "financial product or service" under Dodd-Frank requiring regulatory supervision by the Bureau. [read post]
21 Aug 2023, 7:47 am
Ariadne has co-authored a Chapter on Securities, Commodities and Exchanges which was published in Developments in Administrative Law and Regulatory Practice in 2019. [read post]
21 Aug 2023, 7:47 am
Ariadne has co-authored a Chapter on Securities, Commodities and Exchanges which was published in Developments in Administrative Law and Regulatory Practice in 2019. [read post]
8 Mar 2022, 9:12 pm
Mint authorizes coin issuances and produces coins, but follows forecasts from the Federal Reserve in determining production amounts. [read post]
