Search for: "Financial Industry Regulatory Authority"
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29 Jun 2023, 6:08 am
For one, in many countries in Africa, there is limited access to courts for interpretation in copyright cases due to limited financial and other resources. [read post]
14 Sep 2023, 4:24 am
Central to his thesis is the notion that regulatory half measures may be necessary but are not sufficient to adequately control the deployment of AI. [read post]
21 Nov 2010, 10:39 pm
The criminal and civil probes, which authorities say could eclipse the impact on the financial industry of any previous such investigation, are examining whether multiple insider-trading rings reaped illegal profits totaling tens of millions of dollars, the people say. [read post]
23 Mar 2017, 1:59 pm
These usually were meant to protect sensitive industries, but could also be used to protect national development schemes. [read post]
9 Nov 2023, 1:48 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
15 Jun 2016, 8:08 am
Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, the Department of Health and Human Services Office of Inspector General, and the Financial Industry Regulatory Authority. [read post]
5 Apr 2021, 9:24 am
The report discussed instances in which arbitrations administered by the Financial Industry Regulatory Authority “specifically enforced servicemembers’ rights under USERRA. [read post]
16 Aug 2012, 12:55 pm
Various financial ties between physicians ? [read post]
1 Sep 2020, 11:00 am
Filing a Complaint Against your Brokerage Firm Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
15 Nov 2023, 12:30 am
FINRA, otherwise known as the Financial Industry Regulatory Authority, is an administrative body that regulates the securities industry and provides a forum for securities related disputes. [read post]
25 Nov 2014, 8:09 am
Selling away is prohibited under the rules of the Financial Industry Regulatory Authority (FINRA), particularly FINRA Rule 3040, as well as other securities laws. [read post]
18 Dec 2013, 9:22 am
In order to sell securities in the US broker dealer are required to register with FINRA, the Financial Industry Regulatory Authority. [read post]
4 Oct 2022, 2:57 pm
Stamer helps health industry and other organizations and their management manage. [read post]
8 Feb 2012, 7:39 am
Compiled from online public domain resources, provided for your review/use is this week's update of key industry news, views, and events highlighting key electronic discovery related stories, developments, and announcements. [read post]
18 Dec 2010, 4:52 am
This next two years may be the last window to leash and collar a parasitic financial services industry. [read post]
15 May 2020, 11:49 am
As you are aware, things are changing quickly, there is no clear-cut authority or bright line rules in this area, and the aid measures and interpretations described here may change. [read post]
31 Jan 2019, 8:04 am
The Financial Industry Regulatory Authority (FINRA) has oversight over all major brokerage firms operating in the United States (including UBS Financial Services, Credit Suisse, Merrill Lynch and Morgan Stanley), and these firms are required to arbitrate loss claims filed by individual investors. [read post]
30 Nov 2018, 12:01 pm
In October, the Treasury Department rolled out a pilot program to implement the new “critical technologies” authorities under FIRRMA. [read post]
5 May 2016, 7:45 am
As the high tech industry exploded, the government facilitated its growth. [read post]
7 Jan 2021, 10:42 am
DeLoreto of the Government & Regulatory Affairs Department with any questions regarding this new legislation. [read post]
