Search for: "Financial Industry Regulatory Authority"
Results 7181 - 7200
of 11,238
Sorted by Relevance
|
Sort by Date
8 Nov 2015, 4:50 pm
The question whether concerns about climate change-related disclosures might lead to regulatory enforcement actions or even liability claims has been around for some time, but though the concerns have remained, the regulatory actions and liability claims have not really materialized. [read post]
13 Apr 2016, 6:12 pm
Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, the Financial Industry Regulatory Authority, and the Options Regulatory Surveillance Authority.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
13 May 2022, 9:47 am
Other presenters at the event include other securities attorneys, including Richard Berry, Director of Dispute Resolution at the Financial Industry Regulatory Authority (FINRA). [read post]
8 Feb 2012, 8:05 am
SIFMA/ISDA petition to delay CFTC position limitsOn February 7, the Securities Industry and Financial Markets (“SIFMA”) and the International Swaps and Derivatives Association (“ISDA”) asked a federal court to block CFTC position limits. [read post]
4 Apr 2014, 3:27 am
Cohen stated before the Senate Committee on Banking that under his direction, FinCEN is looking at ways to bring monetary penalties and industry participation injunctions against individuals for BSA violations. [read post]
14 Dec 2011, 6:24 am
Even taking a neutral stance on the question of whether or not more regulation is necessary, it is clear that it is the lobbying efforts of the financial industry and special interests which have led to the current regulatory regime, not an inability of regulators and congressional leaders to understand derivatives. [read post]
14 Dec 2011, 6:24 am
Even taking a neutral stance on the question of whether or not more regulation is necessary, it is clear that it is the lobbying efforts of the financial industry and special interests which have led to the current regulatory regime, not an inability of regulators and congressional leaders to understand derivatives. [read post]
16 Sep 2019, 10:21 am
Simply assigning a compliance individual to a task does not waive firms of their obligations to ensure the task is done properly, adequately, and to full extent mandated by the SEC and/or the Financial Industry National Regulatory Authority. [read post]
4 Apr 2010, 4:01 pm
The Financial Industry Regulatory Authority has published guidelines for financial institutions to follow so their postings protect investors. [read post]
17 Apr 2010, 7:56 am
In the US, the Financial Industry Regulatory Authority (FINRA) has released documents on disclosure, specific results, scenarios and risks. [read post]
9 Feb 2023, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
17 Dec 2010, 7:10 am
But it believes such self-regulatory safe harbors are far more likely to fit industries, and to keep up with changes in technology, business models, and consumer expectations than would standard rulemaking. [read post]
17 Dec 2010, 8:27 am
But it believes such self-regulatory safe harbors are far more likely to fit industries, and to keep up with changes in technology, business models, and consumer expectations than would standard rulemaking. [read post]
30 Sep 2021, 5:01 am
Evergrande’s troubles have coincided with Xi’s application of regulatory pressure across various industries in the name of “common prosperity,” such as by limiting minors’ online gaming. [read post]
20 Nov 2020, 3:23 pm
Economic sanctions and export controls are increasingly prominent issues for legal, commercial and financial professionals. [read post]
16 Aug 2023, 9:04 am
” September 2019 – Financial Industry Regulatory Authority (FINRA) reportedly barred Bobby Wayne Coburn in all capacities after he reportedly failed to provide information in FINRA’s investigation. [read post]
15 Feb 2023, 9:29 am
(CRD#:628), CHICAGO, IL, B, 06/26/2017 – 06/12/2019, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), MOUNT PROSPECT, IL FINRA Attorneys to Recover Investment Losses The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and provides a fair and effective venue to handle a securities-related dispute. [read post]
15 Feb 2024, 8:26 am
If you have suspicions or concerns about deceptive trading practices, consider consulting with a securities attorney or filing a complaint with regulatory authorities like FINRA (Financial Industry Regulatory Authority). [read post]
12 Oct 2011, 3:00 am
UBS acted as an underwriter and broker of auction rate securities and was a member of the Financial Industry Regulatory Authority (FINRA). [read post]
10 Mar 2021, 3:12 am
Being conscious of its regulatory role during the ongoing global health crisis, the Advertising Standards Authority (“ASA”), the UK’s regulator of advertising across all media, aims to act with due regard to the circumstances faced by businesses in the current emergency. [read post]
