Search for: "Financial Industry Regulatory Authority"
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18 Jan 2023, 9:32 am
Brian then turns to the crypto regulatory and enforcement space to discuss Coinbase's recent settlement with New York's Department of Financial Services. [read post]
26 Oct 2017, 9:30 pm
Senate voted 51-50, with Vice President Mike Pence casting the tie-breaking vote, to repeal a Consumer Financial Protection Bureau (CFPB) rule that banned mandatory arbitration clauses in financial contracts. [read post]
14 May 2021, 7:51 am
In part, observers are reacting to a report the Fed released Friday indicating that issuers’ authorization, clearing, and settlement (ACS) costs for debit have declined dramatically over the years. [read post]
28 Dec 2015, 5:37 pm
The FCC has now taken a few steps to address the predicaments faced by the LPTV/translator industries. [read post]
2 Aug 2021, 1:49 pm
Recover Your Money Through FINRA Arbitration This agency, formally known as the Financial Industry Regulatory Authority, Inc., is a private, self-regulated organization for the industry. [read post]
12 May 2008, 5:15 am
He compared the oversight board to industry self-regulatory groups such as the New York Stock Exchange or the Financial Industry Regulatory Authority, albeit with more SEC control. [read post]
13 Jun 2012, 9:12 am
Section 3 of the BHC Act requires the FRB to consider whether the applicants are subject to comprehensive supervision or regulation on a consolidated basis by appropriate authorities in their home country. [read post]
19 Sep 2024, 9:05 pm
” The United Kingdom’s Financial Conduct Authority has originated the idea of a “regulatory sandbox,” creating “a ‘safe space’ in which businesses can test innovative products, services, business models and delivery mechanisms without immediately incurring all the normal regulatory consequences of engaging in the activity in question. [read post]
19 Nov 2010, 5:00 am
’s Financial Services Authority said that starting in November next year, firms will have to record the cell phone conversations of some employees as part of its push to detect insider dealings. [read post]
12 Mar 2010, 5:05 pm
The Financial Industry Regulatory Authority (andquot;FINRAandquot;), Office of Dispute Resolution, (formerly NASD Dispute Resolution, Inc.) reports that as of 2003, of the 663,000 registered representatives in the country in 2003, only 2,751 or 0.41 % have been the subject of three or more customer initiated investment related complaints or arbitrations. [read post]
9 Jul 2010, 11:37 am
Industry professionals may recognize the St. [read post]
8 Apr 2012, 9:56 pm
Shulman took over the position as IRS Commissioner in 2008, after working as the Vice Chairman of the National Industry Regulatory Authority. [read post]
WSJ Article on Medical Foods Repeats Common Errors, but Illustrates Importance of Healthcare Options
29 Jul 2012, 8:05 pm
Disease management claims for medical foods are closely policed and, if found lacking in clinical support, are likely to be challenged by a wide range of groups, including the FDA, the FTC, the NAD (an industry self-regulatory arm of the BBB), state attorneys general, and plaintiffs' class action lawyers. [read post]
19 Apr 2021, 9:22 am
REGULATORY CONSIDERATIONS[4] A. [read post]
10 Sep 2018, 7:49 pm
Beyond her public policy and regulatory affairs involvement, Ms. [read post]
6 May 2019, 5:44 pm
Beyond her public policy and regulatory affairs involvement, Ms. [read post]
19 Jul 2014, 2:51 pm
When the proverbial fox is put in charge of the henhouse, board members’ financial incentives may lead the board to make regulatory choices that favor incumbents at the expense of competition and the public. [read post]
2 May 2019, 11:54 am
Takeaways The Commission’s complaint and settlement order provide valuable insight and reminders to the online lending industry and others. [read post]
9 Jul 2024, 8:28 pm
Regulatory oversight is distributed among existing agencies, with the Information Commissioner’s Office overseeing data privacy and the Competition and Markets Authority addressing competition-related issues. [read post]
5 Jul 2023, 6:56 am
” Utility Air Regulatory Group v. [read post]
