Search for: "Financial Industry Regulatory Authority"
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7 Jun 2012, 7:44 pm
There were complaints about examiners making findings and recommendations without supporting regulatory authority. [read post]
5 Apr 2014, 1:41 pm
A full list of exemptions is set forth under Sections 22050 – 22065 of the California Financial Code, providing relief from CFLL regulation for other types of transactions and specific entities licensed by other regulatory agencies. [read post]
26 Nov 2021, 7:48 am
However, Member State competent authorities will still have discretion with regard to sovereign debt. [read post]
16 Mar 2020, 12:43 pm
The financial effects of the COVID-19 pandemic and containment efforts has many businesses flailing to reconfigure their staffing and other business models even as Congress is preparing to impose paid COVID related leave mandate on employers with less than 500 employees. [read post]
16 Mar 2023, 9:57 am
“It is crucial that there is a clear regulatory framework to address cybersecurity,” Uyeda wrote. [read post]
14 Feb 2012, 2:33 pm
Department of Treasury and has authority to monitor all aspects of the insurance industry. [read post]
13 Aug 2023, 9:01 pm
In particular, it will be critical for companies to consider early on the nuances and relevant scope of a relevant agency’s VSD policy, including whether to self-disclose to criminal authorities (and not only to regulatory agencies). [read post]
31 Jul 2007, 9:29 pm
"We're FINRA - the Financial Industry Regulatory Authority", announced the old NASD, plus the NYSE's regulatory functions. [read post]
2 Feb 2022, 5:30 am
Unlike other sectors of the private economy, the tech industry has no precedent or ancestor in the state-run corporations. [read post]
7 Mar 2016, 9:30 pm
Following the last financial crisis, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which defines and limits the activities of certain financial firms. [read post]
31 Mar 2020, 6:00 am
One exception is the Financial Industry Regulatory Authority (FINRA), which arbitrates virtually all disputes between investors and stockbroker-dealers, and makes all of its nearly 60,000 written arbitration decisions publicly available in an online database. [read post]
23 Feb 2010, 12:15 am
Financial Industry Regulatory Authority Inc.U.S. [read post]
5 Oct 2020, 9:33 am
FINRA, the Financial Industry Regulatory Authority, is a government-authorized non-profit organization that works under the Securities and Exchange Commission (SEC) to protect investors and ensure market integrity. [read post]
18 Mar 2014, 1:37 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
9 Feb 2018, 4:28 am
Amici consist of a group of 26 current and former Representatives and Senators described as “sponsors of Dodd-Frank [who] participated in drafting it, serve or served on committees with jurisdiction over the federal financial regulatory agencies and the banking industry, currently serve in the leadership, or served in the leadership when Dodd-Frank was passed. [read post]
19 Apr 2017, 6:44 am
If you’d like to discuss how McGuireWoods might be able to assist you, reach out to the author, Alexandra Villarreal O’Rourke, co-lead of the firm’s FinTech Industry Group, at ao’rourke@mcguirewoods.com or 704-373-4632. [read post]
26 Jun 2024, 10:43 am
Moreover the due diligence project may "probably end up being co-opted by the “auditing” industry. [read post]
27 Dec 2006, 7:47 am
In addition, the regulatory authorities have substantial discretion with respect to approval of businesses that fall within the restricted category. [read post]
9 Nov 2022, 8:30 am
The Financial Industry Regulatory Authority (FINRA) last October launched a thorough examination of the activities of brokerage firms in relation to special purpose acquisition companies (SPACs) because of the risks of these investments and the potential for financial losses for retail investors. [read post]
4 Nov 2022, 7:56 am
(Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021,[11] amends the 1970 Bank Secrecy Act (BSA)[12] to include antiquities dealers in the definition of “financial institutions. [read post]
