Search for: "Financial Industry Regulatory Authority"
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25 Apr 2023, 8:33 am
The unannounced inspection was the latest in a series of regulatory actions, as antitrust officials ratchet up scrutiny of the fashion industry over possible anticompetitive practices. [read post]
28 Apr 2016, 8:38 am
On the flipside, the report notes the upward potential for M&A activity in several key industries, including financial services, energy, mining, utilities and telecommunications. [read post]
21 Aug 2016, 12:41 pm
Farrell: When I brief lawyers new to the area (or company boards unfamiliar with the technology) I ask them to think of real property transactions before there were land registries operated by government authorities. [read post]
2 Jun 2017, 9:20 am
No single agency has regulatory authority over IoT, and some sector-specific authority may overlap. [read post]
12 Aug 2022, 10:26 am
I actually find many of the positions that Mark Zuckerberg has taken on critical industry issues--such as the need to regulate major platforms, but also on free speech issues--totally reasonable. [read post]
26 Dec 2011, 12:00 am
This is starkly evident when we examine the Chinese telecommunications industry, a testament both to the benefits of market liberalization and the power of the Chinese regulatory state. [read post]
9 Jul 2021, 10:11 am
Reserve Bank Sees No ‘Policy Case’ for Digital Aussie Dollar Just YetZDNet – July 6, 2021 The Reserve Bank of Australia (RBA), alongside its Council of Financial Regulators partners — RBA, Treasury, the Australian Prudential Regulation Authority and the Australian Securities and Investments Commission — has been looking into a potential central bank digital currency (CBDC). [read post]
30 Jun 2008, 5:00 pm
In other words, the members of the PCAOB are beholden to the SEC, not to industry, not to profit maximization. [read post]
4 Apr 2023, 7:38 am
The companies will use their combined financial strength to accelerate growth and to invest more in the frontiers of artificial intelligence in law.About vLexvLex is a global legal intelligence platform that provides legal professionals with access to the most extensive collection of legal and regulatory information worldwide, all on one award-winning and unique platform. [read post]
27 Nov 2012, 9:30 pm
” He also expressed confidence in Walter, a former senior executive vice president at the Financial Industry Regulatory Authority (FINRA) and one of the SEC’s two Democratic Commissioners. [read post]
19 Oct 2012, 10:13 am
Especially with respect to broker-dealers, the Financial Industry Regulatory Authority has cracked down on numerous firms that fail to take reasonable steps to investigate issuers before recommending an issuer’s securities to the broker-dealer’s clients. [read post]
9 Sep 2011, 5:47 am
Regulatory failures during the Financial Crisis resulted at least in part from a lack of sufficient incentives for examiners to act aggressively to prevent excessive risk. [read post]
16 Feb 2017, 3:01 pm
About The Author Recognized by LexisNexis® Martindale-Hubbell® as a “AV-Preeminent” (Top 1%/ the highest) and “Top Rated Lawyer,” with special recognition as “LEGAL LEADER™ Texas Top Rated Lawyer” in Health Care Law and Labor and Employment Law; as among the “Best Lawyers In Dallas” for her work in the fields of “Labor & Employment,” “Tax: Erisa & Employee Benefits,” “Health… [read post]
3 Jan 2019, 11:33 am
The Financial Industry Regulatory Authority barred Schmidt in March. [read post]
18 Jun 2019, 2:34 pm
In summary, Aquino allegedly engaged in: Inadequate and unsuitable recommendations An unsuitable investment strategy Misrepresentations and omissions Making statements that materially false and misleading During his just 11 years as a broker, Aquino worked at 13 firms, three of which have been expelled by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Apr 2023, 12:35 am
It wouldn't have to be that way if the CMA had a modicum of regulatory humility. [read post]
9 Oct 2008, 9:58 am
The special report shall contain an analysis of the current state of the regulatory system and its effectiveness in terms of overseeing the financial system and protecting consumers. [read post]
14 May 2021, 8:01 am
The representative also said the SEC does not need additional authority to act on climate risk. [read post]
22 Jun 2018, 3:10 pm
The indictment came following an investigation conducted by the Federal Bureau of Investigation (FBI) with assistance from the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and other agencies. [read post]
6 May 2019, 11:49 am
Such dramatic disruption of federal-state relationships in the banking industry occasioned by a federal regulatory agency lends weight to the argument that it represents exercise of authority that exceeds what Congress may have contemplated in passing the NBA. [read post]
