Search for: "Financial Industry Regulatory Authority"
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18 May 2019, 8:33 am
Facebook’s Board as well as other measures, such as increased transparency and human resources, are cited by the report as evidence of the progress made by Facebook in the past 12 months that convinced the authors of the benefits of the self-regulatory model. [read post]
7 Jun 2018, 3:01 pm
This is a guest blog authored by William Brumfield, an Associate at GAILLE PLLC. [read post]
24 Jul 2018, 7:58 am
The provincial government introduced the rules in 2015, which create a list of unlicensed sites that ISPs must block or face financial penalties. [read post]
22 Jan 2024, 11:54 am
” Are regulatory filings required to evidence satisfaction of the diligent search? [read post]
12 Sep 2011, 11:59 am
The alphabet soup of financial regulatory agencies appears bogged down in rulemaking quicksand, barely even able to collect the information necessary to do its job. [read post]
12 Sep 2011, 11:59 am
The alphabet soup of financial regulatory agencies appears bogged down in rulemaking quicksand, barely even able to collect the information necessary to do its job. [read post]
24 May 2022, 6:24 am
” Churning/Excessive Trading Churning, or excessive trading to generate commissions for the broker, is a violation of securities laws and FINRA (Financial Industry Regulatory Authority) rules. [read post]
27 Feb 2014, 8:25 am
The articles were authored by group of prominent renewable energy developers. . . [read post]
15 Sep 2021, 1:12 am
The HKMA has also issued an FAQ to provide additional supervisory guidance to the banking industry.[2] Background The HKMA, the People’s Bank of China (PBoC) and the Monetary Authority of Macao (MAM) first announced the decision to implement Wealth Management Connect in the GBA on 29 June 2020.[3] In February 2021, the HKMA, the PBoC, China Banking and Insurance Regulatory Commission, China Securities Regulatory Commission, State Administration… [read post]
6 Nov 2023, 2:00 pm
First, the Order requires a number of federal agencies to assess AI risk within the industries the agencies oversee, after which the regulatory agencies must publish guidelines for within those industries to incorporate the Framework. [read post]
18 May 2023, 9:38 am
FINRA’s Supervision Rule FINRA’s supervision rule (FINRA Rule 3110) focuses on the regulatory oversight and monitoring conducted by the Financial Industry Regulatory Authority (FINRA) over its member firms and registered representatives in the securities industry. [read post]
11 Sep 2022, 9:01 pm
This speech expresses the author’s views and does not necessarily reflect those of the Commission, the Commissioners, or other members of the staff [read post]
19 Oct 2017, 9:30 pm
The New York State Department of Financial Services adopted two regulations to protect New Yorkers that would “crack down on unscrupulous practices in the title insurance industry. [read post]
15 Jun 2009, 8:48 pm
On May 20th, President Obama issued a directive setting limits on regulatory preemption of state regulation, largely in an effort to expand the authority of state regulatory officials to regulate many aspects of the securities markets and detect potential misconduct. [read post]
7 Apr 2021, 11:29 am
Many regulatory systems also rely on private-sector enforcers, such as certification bodies, self-regulatory organizations, accountants, lawyers and other “gatekeepers. [read post]
27 Oct 2018, 6:00 am
Unsurprisingly, sleep-related AI found few supporters among existing sleep specialists, who perceived a threat to their authority and revenue. [read post]
6 May 2021, 2:52 pm
Beyond the improved fidelity of CDs, the music industry had no incentive to add new functionality to CDs or their players. [read post]
27 Jun 2014, 7:20 am
For one thing, there's a fair amount of cash in the panic-driven consulting industry. [read post]
22 Oct 2012, 9:24 am
Beginning on Monday, December 3, 2012, members of Financial Industry Regulatory Authority (FINRA) must file a copy of any private placement memorandum, term sheet, or other offering document used within 15 calendar days from the date the sale took place; the filer will have a continuing obligation to file any materially amended versions of the offering documents; if no offering documents are used, it must indicate that it did not do so; and filings must be made… [read post]
27 Aug 2008, 5:01 am
The Financial Industry Regulatory Authority (FINRA) (formerly the National Association of Securities Dealers (NASD)) and the New York Stock Exchange (NYSE) :: members are required to preserve records for no less than six years or they can be imposed with a civil fine. [read post]
