Search for: "Financial Industry Regulatory Authority"
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1 Mar 2024, 6:00 am
GOP senators said that Fed-backed cryptocurrencies would pose privacy concerns and allow regulatory authorities access to the private spending habits of individual Americans. [read post]
15 Dec 2018, 8:40 am
The DOJ also charges that Hightower also concealed from his clients that the Financial Industry Regulatory Authority (FINRA) had barred him in October 2015. [read post]
23 May 2019, 11:01 pm
The authority of NCLAT to hear the appeals of the cases passed by the Board with respect to the insolvency professionals or information utilities will be analysed. [read post]
12 Apr 2016, 3:50 pm
The Department has taken an approach to defining “recommendation” that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
12 Apr 2016, 3:50 pm
The Department has taken an approach to defining “recommendation” that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
20 Nov 2023, 7:57 pm
The Australian Prudential Regulation Authority (APRA) has finalised Prudential Standard CPS 230 (Operational Risk Management) (CPS 230) following a year-long industry consultation. [read post]
29 Jul 2016, 1:00 pm
This rulemaking would mark the first time regulations would be issued to implement the FDCPA, and it is likely to have significant effects on the debt collection industry. [read post]
27 Apr 2017, 10:13 am
While the CFTC has been the most active regulatory authority to address investments in cryptocurrencies, managers should be cognizant that states (including New York), the SEC, FINRA and FinCEN are also deliberating the question of appropriate regulatory oversight. [read post]
1 Jun 2021, 8:43 am
On the same day, Securities and Exchange Commission (SEC) Chair Gary Gensler voiced similar views with respect to the financial industry, telling annual Financial Industry Regulatory Authority (FINRA) conference attendees that “the SEC and FINRA should be ready to bring cases involving issues such as crypto, cyber and fintech” while highlighting investor protection. [read post]
29 Sep 2014, 8:55 am
Telecommunications and broadcast reform may garner limited political benefit, but the future success of the industries depends on it. [read post]
3 Jul 2020, 12:36 pm
While the report only identifies recommendations, and has no authority to create change, it is expected to influence lawmakers and regulatory groups to adopt at least some of the recommendations regarding securitizations. [read post]
17 Mar 2011, 8:02 am
The Dodd-Frank Act creates a whistleblower program that provides significant financial incentives for individuals to report securities and commodities law violations to the SEC and the CFTC. [read post]
24 Aug 2017, 9:40 am
” The new sanctions law also directed Treasury to expand the number of real estate geographic targeting orders or other regulatory actions in order to counter money laundering and other illicit financial activity relating to Russia. [read post]
23 Apr 2012, 7:51 pm
In other words, the financial institutions industry stands united in its opposition to the CFPB on this particular issue, and they're aligned with the lawyers on this one. [read post]
23 Jul 2012, 12:14 am
Financial Services Authority announced (here) that it had fined Barclays £59.5 relating to is Libor and Euribor submissions. [read post]
6 Jul 2022, 8:06 am
Therefore, your best bet for recovery may be through a Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
22 Apr 2015, 7:12 am
Buck has been associated with Merrill Lynch since 1982 according to Financial Industry Regulatory Authority (FINRA) records and became one of the company’s largest producers. [read post]
23 Jun 2010, 10:29 am
“Without active supervision by a disinterested state authority, a regulatory board whose members have a financial interest in the industry it is charged with regulating cannot exclude its competitors from the marketplace,” said FTC Bureau of Competition Director Richard Feinstein. [read post]
6 Jul 2022, 11:13 am
When it comes to claims against broker-dealers, Silver Law works with clients to submit complaints with the Financial Industry Regulatory Authority (FINRA), a government-authorized not-for-profit organization that oversees U.S. broker-dealers, and the Securities and Exchange Commission. [read post]
11 Sep 2012, 9:30 pm
Fraley, you may be able to recover your losses through Financial Industry Regulatory Authority arbitration. [read post]
