Search for: "Financial Industry Regulatory Authority"
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19 Jul 2019, 9:30 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred Pearson from working in the securities industry in June 2017. [read post]
30 Oct 2012, 10:20 pm
According to FINRA, the Financial Industry Regulatory Authority, selling a non-traded REIT before the initial period is up can “be high-risk and erode total return. [read post]
13 Jul 2017, 7:07 am
The case involved corporate bonds, the Financial Industry Regulatory Authority Inc. said in its award document. [read post]
30 Oct 2012, 10:20 pm
According to FINRA, the Financial Industry Regulatory Authority, selling a non-traded REIT before the initial period is up can “be high-risk and erode total return. [read post]
24 Sep 2021, 5:00 am
What is the U.S. regulatory landscape? [read post]
10 Mar 2021, 5:05 pm
Since the Ministry of Finance’s clarification, the Council now also includes authorities’ climate-related regulatory framework in its assessments.The Council concentrates its efforts on extremely large individual emissions or business sectors and processes which, by their nature, generate high emission levels. [read post]
16 Jan 2017, 2:32 pm
The effects of the slowdown has seen a significant uptick in insolvencies particularly in the junior mining/exploration and mining services industries. [read post]
10 Jun 2015, 8:31 am
The Need for Safety Improvements While the NTSB is not given regulatory authority, it investigates pipeline and transportation accidents. [read post]
10 Jun 2015, 8:31 am
The Need for Safety Improvements While the NTSB is not given regulatory authority, it investigates pipeline and transportation accidents. [read post]
21 Jun 2024, 4:16 am
In Italy, certain legislative measures (including Decisions Nos 200/21 and 14/21) were adopted in 2020 and 2021 which subjected providers of online intermediation services and search engines, such as Airbnb, Expedia, Google, Amazon and Vacation Rentals, to certain obligations, including to:be entered in a register (the RCO) held by the national regulatory agency for the communication industries (AGCOM); periodically send AGCOM a document setting out detailed… [read post]
27 Apr 2017, 5:00 am
New York Department of Financial Services Cybersecurity Regulations: August deadline looms The New York Department of Financial Services is imposing detailed cybersecurity regulations on health insurers, banks and other institutions operating under a license or authorization of New York state law. [read post]
12 Aug 2010, 12:48 pm
The Task Force also considered how best to coordinate existing Federal authorities and programs, as well as identify areas where additional federal authority may be necessary. [read post]
16 Jul 2013, 1:06 am
Among the subsets within this larger category of “securities suits” is what the report calls “securities fraud” suits, which as used in the report refers to actions brought by regulatory and enforcement authorities, as well as private securities suits that are not brought as class actions. [read post]
15 Jun 2009, 11:58 am
That still relatively unknown acronym stands for the Financial Industry Regulatory Authority, the self-funded watchdog for the brokerage industry. [read post]
12 Jan 2018, 9:55 am
Each of these factors increases the number of parties that have access – authorized or otherwise – to hotel data, and increase the number of threats to the industry. [read post]
U.S. Representatives and Insurers Request Delay of Decisions Affecting Insurers Under Dodd-Frank Act
17 Feb 2011, 9:46 am
Barney Frank, wrote, “It would be a mistake to have important decisions involving the insurance industry made in the absence of those positions being filled. [read post]
28 Dec 2016, 3:26 am
Kurtas left the SEC in 2015 to join the Financial Industry Regulatory Authority, an industry-funded monitor of U.S. brokerages, as the inspector general’s probe was still under way. [read post]
30 Mar 2014, 9:50 pm
” The experience of the FSA, now reconstituted as the Financial Conduct Authority (FCA), is worth heeding. [read post]
21 Jul 2022, 7:02 am
We think this is a step in the right direction; it is clear the SEC recognizes that the digital asset space is growing and that greater resources need to be brought to bear on the industry. [read post]
21 Jul 2022, 3:02 am
We think this is a step in the right direction; it is clear the SEC recognizes that the digital asset space is growing and that greater resources need to be brought to bear on the industry. [read post]
