Search for: "Financial Industry Regulatory Authority"
Results 821 - 840
of 11,213
Sort by Relevance
|
Sort by Date
26 Jun 2023, 10:30 pm
Blockchain for Financial Services Lawyers Explore this practice note to gain an overview of blockchain technology in the United States and regulatory responses to the technology. [read post]
23 Jun 2023, 2:23 pm
This rule focuses on the regulatory oversight and monitoring conducted by the Financial Industry Regulatory Authority (FINRA) to safeguard investors and maintain the integrity of the securities markets. [read post]
23 Jun 2023, 3:11 am
UK Finance reported that in the payment industry, £1.2 billion was stolen through fraud in 2022. [read post]
23 Jun 2023, 2:58 am
ESMA has started first discussions with Member State competent authorities as well as with industry, which have highlighted the importance of continuing to monitor international developments on T+1 and understanding the impact on EU market players. [read post]
22 Jun 2023, 9:05 pm
The new rule is part of the Biden Administration’s broader effort to address common frustrations with the airline industry. [read post]
22 Jun 2023, 7:39 pm
Salbu, HIV Home Testing and the FDA: The Case for Regulatory Restraint, 46 Hastings L.J. 403 (1995). [read post]
22 Jun 2023, 8:54 am
-Report to Regulatory Authorities: File a complaint with the appropriate regulatory body such as the Securities and Exchange Commission (SEC) or your country’s equivalent agency. [read post]
22 Jun 2023, 7:13 am
General Duty Clause and Private Civil Injury Actions The four-part test applies to federal regulatory enforcement by OSHA. [read post]
21 Jun 2023, 9:48 pm
The month of May saw a broad range of activities within the financial services industry. [read post]
21 Jun 2023, 2:28 pm
-listed China-based companies have been hit with securities class action lawsuits after Chinese government regulatory crackdowns that targeted the defendant companies’ industries or the companies’ business approach. [read post]
20 Jun 2023, 8:17 am
On July 28, 2021, the Financial Industry Regulatory Authority (FINRA), the self-regulator who oversees brokers and brokerage firms, reportedly barred Holts (CRD # 5819398) from the securities industry, according to a Letter of Acceptance, Waiver and Consent. [read post]
20 Jun 2023, 7:26 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
20 Jun 2023, 3:26 am
The Financial Industry Regulatory Authority this week underscored the importance of taking careful client notes when it sidelined a broker who allegedly misstated details of customer calls. [read post]
19 Jun 2023, 10:30 pm
With extensive coverage, this guide provides a timely and comprehensive overview of the latest legislative and regulatory developments affecting the Fintech industry, including licensing, lending, personal data protections, anti-money laundering, and more. [read post]
19 Jun 2023, 10:30 pm
It explores blockchain and possible regulatory responses to the technology. [read post]
19 Jun 2023, 9:05 pm
first appeared on The Regulatory Review. [read post]
19 Jun 2023, 7:10 pm
Source: ilikeyellow / Shutterstock.com It’s been several days since the Financial Industry Regulatory Authority (FINRA) suspended the trading of Meta Materials Preferred Shares (MMTLP). [read post]
19 Jun 2023, 10:24 am
An excessive trading case against two brokers at Laidlaw & Company is the latest sign that regulators are getting serious about a nearly 3-year-old rule requiring advisors to put clients' interests before their own.The Financial Industry Regulatory Authority, the broker-dealer industry's self-regulator, reached agreements last month with Todd Anthony Cirella and Edward Scott [...] [read post]
19 Jun 2023, 8:38 am
Firms shouldn’t hold their breath as they await a pair of rule proposals from the Financial Industry Regulatory Authority to allow for more flexible supervision of brokers’ home offices, the regulator’s Chief Executive Robert Cook said on Wednesday. [read post]
19 Jun 2023, 7:56 am
The Financial Industry Regulatory Authority has submitted to the Securities and Exchange Commission another revision to one of its two proposals to make it easier for firms to supervise brokers working remotely. [read post]
