Search for: "Financial Industry Regulatory Authority"
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21 Jul 2022, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
3 Feb 2011, 9:26 am
Financial statements not publicly available filed with applications for industrial development financings in accordance with Chapter 49 (§ 15.2-4900 et seq.) of Title 15.2. 3. [read post]
16 Feb 2024, 6:18 am
In its current proposal, FinCEN notes that the investment adviser industry’s assets under management have nearly doubled since its 2015 proposal. [read post]
12 Oct 2011, 3:40 pm
” Do the authors mean to exclude the plaintiffs’ lawyer litigation industry, which has grown so large and politically powerful in this country? [read post]
10 Dec 2018, 7:17 am
One headhunter interviewed for the news article notes that while the majority of employers will instantly nix any prospective applicants who respond “yes” to even one of nearly six dozen questions on the Financial Industry Regulatory Authority’s (FINRA) U4 registration form, IAA won’t disqualify these individuals right off the bat. [read post]
9 Mar 2020, 11:42 am
For example, Principle 5 (Security) of the Bureau’s Consumer Protection Principles: Consumer-Authorized Financial Data Sharing and Aggregation (Oct. 18, 2017) places obligations on “all parties that access, store, transmit or dispose of [consumer] data” to protect consumer data against security breaches. [read post]
2 Feb 2021, 7:22 am
It will have to pass muster with the Financial Stability and Development Committee, China’s highest economic and financial regulatory body, chaired by Vice Premier Liu He. [read post]
5 Mar 2024, 9:05 pm
But under these proposals, secondary market trading in cryptoassets could be regulated by the Commodity Futures Trading Commission, by an industry self-regulatory body, by cryptoexchanges acting as self-regulators, or by a combination thereof. [read post]
29 Jul 2024, 5:40 pm
Yellen Signals A Threat to the Independence of Multimember Financial Regulatory Agencies, 26 N.C. [read post]
19 Aug 2022, 4:42 am
The note required any disputes to be arbitrated pursuant to the Financial Industry Regulatory Authority (hereinafter FINRA) Code of Arbitration Procedure for Industry Disputes. [read post]
17 Mar 2010, 11:46 am
” On February 19, 2010, a Florida Financial Industry Regulatory Authority (FINRA) arbitration panel awarded Andrew M. [read post]
1 Oct 2007, 6:17 am
The Financial Industry Regulatory Authority (FINRA) announced the settlement on Thursday. [read post]
13 Jan 2016, 9:35 am
In recent years, the Wells Notice model has been adopted by other regulatory agencies, most notably the Financial Industry Regulatory Authority (FINRA). [read post]
28 Feb 2019, 6:41 pm
While economic reform policies that could negatively affect human rights are more commonly found in the context of economic and financial crisis responses, these reforms have also been observed in less challenging economic times. [read post]
13 Jul 2018, 6:00 am
Finance Watchdog Takes Aim at Cryptocurrency The Financial Industry Regulatory Authority (FINRA), a self-regulatory body for broker-dealersm has released a regulatory notice to mandate its member to notify the authority if they engage in any cryptocurrency activity. [read post]
2 Apr 2012, 8:17 am
USAID Administrator Rajiv Shah is announcing a broad set of reforms [in order to] reduce the development industry’s dependence on cash. [read post]
26 Oct 2014, 7:08 pm
The Securities Industry and Financial Markets Association (“SIFMA”) also released its own guidance on the “reasonable steps” required to verify accredited investor status. [read post]
9 Sep 2013, 12:05 am
These types of regulatory and prosecutorial actions can be enormously expensive. [read post]
9 Jan 2013, 12:00 am
The Scorecard to Date Since January 1, 2007, 467 U.S. financial institutions have failed. [read post]
14 Oct 2011, 2:10 pm
Court of Appeals in the Second Circuit, arguing as it did last fall in district court that the Financial Industry Regulatory Authority arbitration panel that awarded the sum ignored the law. [read post]
