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12 Aug 2022, 11:49 am
FINRA’s guidance recommends that firms review correspondence to look for these red flags. [read post]
17 Dec 2016, 1:00 am
On 23 November 2016, the European Commission published proposals [1] for widespread revisions to the EU prudential regulatory framework for banks and investment banks. [read post]
11 Oct 2022, 7:52 am
The FSB has also published a consultative report regarding a review of its high-level recommendations of October 2020 for the regulation, supervision, and oversight of global stablecoin arrangements. [read post]
14 Apr 2021, 6:00 am
-China Economic and Security Review Commission. [read post]
20 Jul 2016, 10:18 am
Each alert required that a person manually review and confirm each transaction, and for each transaction, personnel determined the activity appeared legitimate, according to the AWC. [read post]
30 Jun 2022, 6:10 am
The Network Advertising Initiative (NAI), an industry trade group that develops self-regulatory standards for online advertising, has released its Precise Location Information Solution Provider Voluntary Enhanced Standards. [read post]
10 Jul 2006, 4:04 pm
Julie Yamaka commenced a two-year term that will run through July 2008 as an officer of the organization of state and federal administrative regulatory professionals. [read post]
7 Jun 2011, 1:08 pm
More and more brokers and investment advisers are becoming familiar with the applicable social media regulations, including those described in FINRA Regulatory Notice 10-06, to put into place procedures that permit the wide use of social media for marketing purposes. [read post]
10 May 2024, 12:43 pm
Miller Starr Regalia’s developer clients are always keenly interested in efficient and defensible CEQA compliance, which entails effective utilization of legislative and regulatory exemptions and streamlining options where the same are available for particular projects. [read post]
24 May 2024, 7:37 am
At a later stage, the FCA intends that its second consultation will have a broader remit for policy change, including a review of the reporting regime. [read post]
28 Jan 2010, 6:23 am
On Tuesday, the Commonwealth of Massachusetts filed a regulatory action against Securities America, Inc., accusing the brokerage firm of committing securities fraud on a massive scale. [read post]
1 Aug 2016, 4:56 pm
GAO selected 4 systems for review that are used in the firearms tracing process, based on factors such as the inclusion of retail purchaser information and original data. [read post]
21 Jul 2011, 7:44 am
For example, it reviews and processes requests to announce or publish certain actions by issuers of OTC securities and maintains the symbols database for OTC securities. [read post]
6 Nov 2014, 1:56 pm
These decisions serve as a reminder to website publishers that they cannot pass all responsibility for compliance with the OBA Principles on to advertisers and that they should periodically review their privacy disclosures for compliance with applicable industry guidelines. [read post]
2 Oct 2009, 3:00 am
He's a pioneer in this area, and authored the first blog I recall seeing on regulatory matters. [read post]
21 Dec 2010, 7:04 am
New York] and the doctrinal apparatus deployed a century ago to abort the modern American regulatory state. [read post]
26 Jan 2016, 7:12 am
., a broker-dealer, working out of the Buffalo, New York office, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority. [read post]
3 Jan 2012, 6:52 am
The current federal administration is making significant changes in employment law through its rulemaking and regulatory authority rather than seeking Acts of Congress. [read post]
16 Mar 2017, 12:00 am
Where applicable, a high-level review of these Credit Support Annexes is still required to ensure that they are consistent with the VM Requirements applicable to both parties; and backloading requirements in certain jurisdictions. [read post]
13 Jun 2012, 1:23 pm
A Financial Industry Regulatory Authority ("FINRA") hearing panel has ordered Lakeland, Florida-based Brookstone Securities, Inc. [read post]
