Search for: "Financial Industry Regulatory Authority"
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27 Nov 2023, 11:35 am
“Today’s historic penalties and monitorship to ensure compliance with U.S. law and regulations mark a milestone for the virtual currency industry. [read post]
24 Jun 2009, 4:39 am
Purpose of the Forms and Discussion of Recently Approved Changes & Requirements The Financial Industry Regulatory Authority (FINRA), is the largest independent regulator for all securities firms doing business in the United States, and is the entity designated as the filing depository by the U.S. [read post]
18 Mar 2013, 9:30 pm
The JOBS Act includes a requirement that the Financial Industry Regulatory Authority (FINRA), a non-governmental organization, set forth its own guidelines for crowdfunding portals. [read post]
11 Sep 2010, 9:26 pm
(a) A practitioner authorized to order clinical laboratory services, pharmacy services, radiation therapy services, physical therapy services or x-ray or imaging services may not make a referral for such services to a health care provider authorized to provide such services where such practitioner or immediate family member of such practitioner has a financial relationship with such health care provider. [read post]
2 Mar 2010, 1:34 pm
"Similarly, Nicole Hamer Williams of Penson Financial Services argued that any change to the current sponsored access regulatory regime should be addressed through the establishment of industry wide best practices that advance the efficient and appropriate regulation of sponsored access. [read post]
13 Sep 2018, 12:21 pm
” As detailed below, the proposal would make several “industry-friendly” changes to the existing TDP Policy. [read post]
16 Jan 2008, 3:37 pm
Housing industry was off to the races.In the 1970s, very few people qualified for credit cards. [read post]
15 Oct 2020, 8:49 am
To register with the SEC, a broker-dealer must apply to a self-regulatory organization, most commonly the Financial Industry Regulatory Authority (FINRA), and comply with any subsequent restrictions on business activities. [read post]
3 Aug 2020, 1:36 pm
He had been in the industry since 1976. [read post]
15 Oct 2020, 8:49 am
To register with the SEC, a broker-dealer must apply to a self-regulatory organization, most commonly the Financial Industry Regulatory Authority (FINRA), and comply with any subsequent restrictions on business activities. [read post]
8 May 2007, 7:57 am
Implies that the company is licensed by securities regulatory authorities. [read post]
24 Mar 2017, 8:46 am
With respect to BITs and FTAs she noted the way that SWFs and SOEs are treated in similar ways (that is to the extent that there are instances where regulatory provisions could apply to both)--in both cases of course they represent projections of state financial power abroad. [read post]
14 Dec 2017, 5:00 am
Looking ahead, he foresees much of the litigation will mirror regulatory enforcement actions. [read post]
6 Jun 2014, 2:59 am
The impact on job creation and potential rates payable to local authorities is significant.'We've voiced concerns before about development bottlenecks, which are often caused by legislative delays, ill-considered legislation or [laws] that have unintended consequences.'This, together with an increasingly complex regulatory environment, is restricting the growth of the commercial property sector in the country,' Gopal said.The out-of-date Subdivision of… [read post]
19 Jan 2023, 4:11 am
The SEC has, however, been increasingly litigating cryptocurrency enforcement actions in other federal courts.Since 2013, the SEC has issued 20 cryptocurrency-related trading suspension orders and 12 delinquent filing orders, along with a number of subpoenas and follow-on administrative proceedings.Cornerstone Research's Cryptocurrency Enforcement Database contains cryptocurrency-related enforcement actions brought by the SEC between January 1, 2013, and December 31, 2022.About Cornerstone… [read post]
13 May 2021, 12:54 pm
State regulatory bodies require registration as well as the Financial Industry Regulatory Authority (FINRA), a regulatory arm of the Securities and Exchange Commission (SEC) in charge of licensing broker-dealers. [read post]
26 Mar 2021, 11:03 am
State regulatory bodies require registration as well as the Financial Industry Regulatory Authority (FINRA), a regulatory arm of the Securities and Exchange Commission (SEC) in charge of, among other things, licensing broker-dealers. [read post]
1 Dec 2016, 10:26 am
Mishkin The CFPB’s Fall 2016 rulemaking agenda has been published as part of the Fall 2016 Unified Agenda of Federal Regulatory and Deregulatory Actions. [read post]
22 Feb 2010, 3:56 pm
It would impose regulatory standards for all alternative investment funds within its scope and enhance the transparency of the activities of the funds towards investors and public authorities. [read post]
7 Nov 2023, 8:00 am
Increased Regulatory Scrutiny: Frequent truck accidents can prompt increased regulatory scrutiny from local and federal authorities. [read post]
