Search for: "Financial Industry Regulatory Authority"
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31 Mar 2019, 6:18 am
” Then it was reported that the Financial Industry Regulatory Authority Inc. [read post]
25 Mar 2011, 9:01 am
As for the regulatory responsibilities of the Joint Canada-Quebec Regulatory Office, it has been mandated to propose a specific collaboration agreement which is to emphasize transparency and efficiency for industry. [read post]
10 Feb 2010, 1:41 pm
Although industry bodies are usefully working to standardize transaction legal documentation, little interest is seen in taking this to the product structuring level.. [read post]
4 Sep 2020, 6:27 pm
This included negotiating an agreement with Chinese authorities on cross-border enforcement cooperation in 2013. [read post]
7 Feb 2011, 5:05 am
Of course, the two states share more than a regulatory philosophy and sophisticated financial laws. [read post]
21 Sep 2017, 3:00 am
The authors speculate that the difference has to do with lawyers’ risk averse nature – it’s a positive in companies that face a lot of regulatory & litigation risk, but a negative in other settings. [read post]
19 Jan 2022, 2:35 am
Brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment, prior to making recommendations to an individual investor. [read post]
14 Jan 2019, 8:47 am
Unlike fiat currencies, there is no governmental authority or central bank establishing its value through law or regulation. [read post]
4 Aug 2023, 11:19 am
” Paroc’s parent company, Owens Corning, acknowledged the failed certification, stating that: “We have suspended the distribution and sales of these products and have alerted the relevant regulatory authorities. [read post]
28 Jun 2012, 9:42 am
The financial firms, professionals, and the securities they sell fall under numerous federal and state regulatory schemes – e.g., the Securities and Exchange Commission (“SEC”), and the Financial Industry Regulatory Authority (“FINRA”). [read post]
19 Aug 2022, 5:01 am
OFAC doesn’t have consumer protection interest or authority, nor does it investigate the various other “little” crimes (such as billion-dollar Ponzi schemes or industrial-scale securities fraud) that infest the cryptocurrency space. [read post]
6 May 2022, 9:14 am
The Consumer Financial Protection Bureau (CFPB) rule would allow consumers to easily share their financial data with third-parties. [read post]
4 Jan 2016, 1:58 pm
One of this year’s regulatory gift givers is a repeat holiday patron – the Financial Industry Regulatory Authority (FINRA) – that preliminarily proposed an initial suite of pay-to-play provisions in late 2014. [read post]
26 Apr 2021, 9:02 pm
The project is financially supported by the European Union and is being implemented in partnership with the Albanian Food Industry until September 2021. [read post]
30 Jun 2011, 7:08 am
The failures are the product of a destructive convergence of funding shortfalls, political attacks, and outmoded legal authority, setting the stage for ineffective enforcement and unsupervised industry self-regulation. [read post]
15 May 2024, 4:00 am
Aspen Publishing, until the end of 2021, was part of Wolters Kluwer’s Legal & Regulatory information publishing business unit. [read post]
11 Sep 2024, 11:13 am
Then, just days before the ceremony, they announce essential modifications to the contract, supposedly mandated by external authorities like government regulators or financial institutions. [read post]
12 Mar 2010, 2:08 pm
But I can say that the $600 million spent by the financial services industry on lobbying in the decade before the financial meltdown led to the loosening and elimination of regulatory protections that could have mitigated that damage or prevented it entirely. [read post]
22 Aug 2008, 12:57 am
The arbitrations will be conducted through the Financial Industry Regulatory Authority (FINRA), formerly the National Association of Securities Dealers (NASD). [read post]
29 Jun 2011, 9:27 am
“ Specifically, WSJ reports: The Financial Industry Regulatory Authority said the Syosset, N.Y., firm targeted elderly and unsophisticated customers as it marketed a $2 billion real-estate fund. [read post]
