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15 Mar 2018, 9:30 pm
Senate voted 67-31 to pass the bipartisan Economic Growth, Regulatory Relief, and Consumer Protection Act. [read post]
27 Nov 2020, 9:05 pm
The post Fixing Student Loans first appeared on The Regulatory Review. [read post]
14 Oct 2021, 5:04 am
Lack of Understanding of Current Industry Practices In examining global regulatory initiatives, we are concerned that policymakers underestimate the current efforts being made by the global tech industry. [read post]
28 Sep 2017, 9:58 am
[T]hey play a crucial role in managing their institution’s overall exposure to risk and promoting its overall financial success. [read post]
28 Sep 2017, 9:58 am
[T]hey play a crucial role in managing their institution’s overall exposure to risk and promoting its overall financial success. [read post]
2 Mar 2023, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
15 Aug 2018, 9:30 pm
But the industry has responded to these state programs with legal challenges. [read post]
8 Jan 2020, 2:50 pm
New York State Department of Financial Services In the same spirit, on December 23, 2019, the New York State Department of Financial Services (“NYDFS”) issued an industry letter requesting that all the institutions that it regulates submit transition plans to the NYDFS addressing their LIBOR exposure. [read post]
12 Apr 2022, 5:01 am
Some observers have also criticized TSA and CISA for promulgating directives under emergency authority, which allowed them to forgo industry input through the traditional process of rulemaking. [read post]
21 Jan 2011, 2:14 pm
These issues are complicated by the diversity of the investment adviser industry and strong industry opposition.The diversity of the investment advisory industry, ranging from small, locally-operated financial planning firms to global money managers suggests the potential for multiple SROs, each of which could oversee a different type of investment adviser. [read post]
29 Oct 2008, 5:42 pm
Part of Mark's characterization might result from appropriate industry concerns about the financial strength of AIG and other structured settlement annuity providers. [read post]
14 Nov 2017, 3:27 am
I welcome guest post submissions from responsible authors on topics of interest to this site’s readers. [read post]
18 Jan 2008, 7:00 pm
As a reminder of why annuities are financially secure, Wayne Mehlman of the American Council of Life Insurers (ACLI) spoke about the solvency requirements and regulatory oversight of the Life Insurance Industry. [read post]
30 Mar 2023, 8:48 am
FINRA is the Financial Industry Regulatory Authority, which is a self-regulatory organization that oversees the securities industry in the United States. [read post]
23 Sep 2010, 4:01 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in August and September 2010: Michael Frederick Siegel, formerly with BMA Securities and FSC Securities was fined $30,000 and suspended from association with any FINRA member in any capacity for two consecutive six-month terms in connection with the sale of securities to… [read post]
24 Aug 2023, 6:00 am
During the past year, there’s been a flurry of regulatory activity related to data brokers. [read post]
20 Oct 2017, 4:30 am
State Regulations The New York Department of Financial Services (NYDFS) set forth mandatory cybersecurity standards for the financial industry that went into effect on March 1. [read post]
14 Jun 2024, 2:57 am
The scheme was essentially voluntary, with no legal or financial consequences for companies that failed to report. [read post]
8 Nov 2011, 9:56 am
On Sept. 1 the Financial Industry Regulatory Authority notified MF Global it had to increase its capital treatment of certain repurchase transactions collateralized with European sovereign debt because of the volatile value of the collateral. [read post]
6 Jun 2012, 6:22 am
FIO, although without direct regulatory authority, will play an important role in the future regulation of the insurance industry. [read post]
