Search for: "Financial Industry Regulatory Authority"
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6 Jul 2013, 6:23 am
Ogden’s call for disclosure of interests, “especially if the authors are likely to be involved in legal testimony,” ignores that litigants on both sides need access to scientific expertise on the issues that drive litigation and regulatory battles. [read post]
13 Jun 2024, 9:01 pm
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]
7 Jan 2020, 8:48 am
Rule 8210 allows the Financial Industry Regulatory Authority (FINRA) to demand documents, information or testimony from broker-dealers or employees. [read post]
17 Dec 2020, 9:03 pm
Department of Agriculture issued a long-anticipated final rule that clarifies the scope of producer conduct that is prohibited under the Food, Conservation, and Energy Act, a law that protects fair and competitive markets and financial integrity in the livestock, meat, and poultry industry. [read post]
8 Feb 2022, 6:43 am
In the panel discussion on ESG Developments in Financial Markets, Tracey Wingate noted industrywide surveys conducted by the Investment Company Institute and Independent Directors Council (IDC) which drive home the need for greater representation of women and minorities at all levels of the asset management industry. [read post]
28 Apr 2014, 10:23 am
Many in the health care industry view the rejection of the Pilot Program as a rather unfortunate outcome, as the for-profit turnaround players with deep pockets and the requisite operational expertise might have been welcomed by the many financially distressed hospitals in New York. [read post]
24 Jan 2021, 10:07 am
” But reusing produced water is far from financially viable today, industry analysts said. [read post]
18 Oct 2019, 10:11 am
Typically, the third quarter is quieter than the second quarter from a compliance perspective, however we continue to see meaningful enforcement actions taken by regulatory authorities and rapid developments in the digital asset space. [read post]
13 Jun 2018, 10:14 am
Federal securities laws and laws within the Financial Industry Regulatory Authority (FINRA) state that firms must monitor and supervise their employees in order to detect and prevent their brokers from offering investments in this way. [read post]
28 May 2020, 8:23 am
Legal and Regulatory Developments SPOTLIGHT: French Anti-Trust Watchdog Shines a Light on FintechFinextra – May 27, 2020 France’s competition authority has launched a public consultation into the fintech sector, with a focus on payment services. [read post]
27 Sep 2011, 4:03 pm
On September 7, 2011, the Financial Industry Regulatory Authority (FINRA) fined John Thomas Financial $275,000 for overcharging its customers. [read post]
25 Jun 2020, 8:00 am
Legal and Regulatory Developments SPOTLIGHT: Apple’s Easy Ride From U.S. [read post]
21 Feb 2019, 10:06 am
These arbitration claims, which have been filed with the Financial Industry Regulatory Authority (FINRA), allege that investors are losing substantial sums as a result of relying on self-interested and unsuitable advice from their Wall Street brokers. [read post]
21 Mar 2024, 9:05 pm
The proposed agency would be authorized to increase financial regulation and oversight of club management, sanction irresponsible owners, and prevent clubs currently competing in English leagues from joining other proposed international leagues. [read post]
22 May 2014, 4:43 am
” The presence of a statistical anomaly in a company’s financial statements – “whether or not it represents a reporting error” — may “trigger scrutiny by regulatory authorities prior to more overt and clear evidence of a problem. [read post]
16 Nov 2023, 2:57 pm
Furthermore, the EO specifically encourages independent regulatory agencies to consider using their full range of authorities, including rulemakings and revising existing regulations and guidance that apply to AI, to protect American consumers from fraud, discrimination, financial instability, threats to privacy, and other risks that may arise from the use of AI. [read post]
12 Jul 2015, 7:08 pm
Citizenship and Immigration Services, the Financial Industry Regulatory Authority, the Hong Kong Securities and Futures Commission, and the China Securities Regulatory Commission.Read the full SEC complaint here: http://tinyurl.com/pzbzjeo [read post]
25 Apr 2014, 8:35 am
That move, however, didn’t sit well with the Financial Industry Regulatory Authority, the private corporation that is the brokerage industry’s self-financed policing arm. [read post]
16 Oct 2012, 10:52 am
District Court Judge Robert Wilkins struck down position limits regulation on Sept. 28 and handed a first round victory to financial industry lobbying groups. [read post]
25 Jun 2020, 8:25 am
In the ANPR, the OCC states that the goals of its review are to evaluate whether its regulations “effectively take into account the ongoing evolution of the financial services industry, promote economic growth and opportunity and ensure that banks operate in a safe and sound manner, provide fair access to financial services, treat customers fairly, and comply with applicable laws and regulations. [read post]
