Search for: "Financial Industry Regulatory Authority"
Results 7161 - 7180
of 11,238
Sorted by Relevance
|
Sort by Date
6 Mar 2020, 9:37 am
Notwithstanding the above UK papers, there are also papers from the European Supervisory Authorities that provide some assistance. [read post]
26 Jul 2024, 3:15 am
– Establish financial penalties for corporate special interests that knowingly submit false information during the rulemaking process. [read post]
7 Sep 2024, 8:08 pm
The FCC also decided to end its presumption that silent stations are entitled to fee waivers without providing evidence of financial hardship and, beginning in 2025, all broadcasters will be required to submit financial documentation to demonstrate financial hardship regardless of their operating status. [read post]
29 Jul 2020, 12:20 pm
” The subject matter of a FINRA investigation or inquiry can include almost anything relating to the brokerage industry or the financial advisors activities. [read post]
23 Oct 2020, 8:55 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
27 May 2021, 9:03 pm
These restrictions could lead to repercussions for the oil and gas industry because the potentially protected lesser prairie chickens reside on land that is rich in fossil fuels. [read post]
7 Aug 2020, 9:38 am
The proposed legislation also would establish quorum requirements, the authority of the Chair, and limitations on that authority. [read post]
21 Aug 2019, 6:02 am
Financial Conduct Authority earlier this week conceded to growing demands from the industry and recommendations of the European Banking Authority to provide an additional 18-month delay of the mid-September SCA deadline, which would have required increased security for e-commerce transactions throughout the continent. . . . [read post]
15 Jul 2024, 5:00 am
Regulatory Compliance Various industries have heavy regulations to keep in mind. [read post]
16 May 2024, 9:05 pm
The Spaulding team found that many of the affected industries offer high-quality employment but that women and people of color are underrepresented in these industries. [read post]
22 Jul 2008, 12:53 pm
Federal regulators have either been willfully somnolent (OCC, OTS) or without sufficient authority (FTC, FDIC) to engage in meaningful consumer protection in financial services. [read post]
21 Jul 2024, 7:01 am
Comments were due July 15 in response to the FCC’s June NPRM regarding the 2024 annual FCC regulatory fees in which it sought comment on a number of fee-related issues, including whether to end its temporary regulatory fee relief measures implemented during the COVID-19 pandemic as well as ending its presumption that silent stations are entitled to fee waivers without providing evidence of financial hardship. [read post]
5 Apr 2021, 2:00 pm
Here is the authors’ article. [read post]
22 Dec 2023, 6:00 am
Defending against fraud and complying with changing regulatory requirements are imminent challenges, but adopting best practices positions payment service providers to adapt to any regulatory change. [read post]
24 Jul 2012, 8:33 am
Noting that the law needs to change to ensure the punishment fits the crime, Senator Reed emphasized that the legislation would give the SEC more tools to demand meaningful accountability from Wall Street and enhance the Commission’s ability to protect investors and crack down on fraud.The SEC is responsible for overseeing approximately 35,000 entities, as well as the Financial Industry Regulatory Authority (FINRA), which itself oversees 4,500 brokers; the… [read post]
11 Apr 2024, 9:48 pm
’s ability to address climate change by passing the regulatory authority of the issue from agencies to Congress. [read post]
31 Mar 2018, 10:40 am
’” According to his Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), William Slattery allegedly engaged in outside business activities without providing notice to his firm from November 2015 until April 2016. [read post]
6 May 2021, 2:20 pm
Directors in other areas are also increasingly subject to regulatory exposure, with changes in law in the Pensions Schemes Act and with the proposals for the new Audit, Reporting and Governance Authority which is expressly intended to expand directors’ responsibilities, and exposures, for companies’ financial statements. [read post]
10 Jul 2016, 3:27 pm
Professor Berman writes that he is “not aware of any tobacco industry comments that were supportive of FDA regulation of e-cigarettes. [read post]
29 Apr 2021, 8:26 am
Big technology platforms “have the capacity to draw significant profits without being subject to regulatory constraints weighing on banks,” the authority said in a report on Thursday. [read post]
