Search for: "Financial Industry Regulatory Authority"
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12 Dec 2017, 4:36 pm
ICOs suddenly are facing a very different regulatory environment. [read post]
21 Mar 2022, 6:35 am
According to the Financial Industry Regulatory Authority, Blumberg has been the broker of record for at least four (4) customer disputes. [read post]
28 Aug 2023, 10:01 am
The auditor is also subject to regulatory oversight by both. [read post]
20 Apr 2022, 12:56 pm
According to the Financial Industry Regulatory Authority, Barouti has been the broker of record for at least four (4) customer disputes. [read post]
2 Oct 2020, 5:46 am
Robert Barnard investigation by attorney Alan Rosca reveals that former Las Cruces, NM, Principal Securities registered broker and investment advisor was barred by the Financial Industry Regulatory Authority (FINRA), after he allegedly refused to appear for on-the-record testimony requested by FINRA during its investigation into alleged inappropriate personal financial dealings with clients. [read post]
2 Oct 2020, 5:46 am
Robert Barnard investigation by attorney Alan Rosca reveals that former Las Cruces, NM, Principal Securities registered broker and investment advisor was barred by the Financial Industry Regulatory Authority (FINRA), after he allegedly refused to appear for on-the-record testimony requested by FINRA during its investigation into alleged inappropriate personal financial dealings with clients. [read post]
4 Aug 2011, 12:56 pm
As Judge Sutton explained, “inaction is action, sometimes for better, sometimes for worse, when it comes to financial risk. [read post]
8 Feb 2013, 7:42 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
2 Sep 2021, 8:55 pm
The receiving crypto-asset service provider will be required to retain the beneficiary and originator information for a period of five years, and be prepared to make this information fully available and without delay to UK regulatory authorities or the police, if so required. [read post]
27 Feb 2014, 9:59 am
The authors of the study do not belabor this point, but if anyone in the industry has any insight into this, I’d be interested in hearing your thoughts in the comments. [read post]
31 Mar 2014, 12:01 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
6 Mar 2014, 3:10 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
24 Mar 2014, 3:04 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
19 Mar 2014, 11:15 am
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
7 Mar 2023, 9:01 pm
Developments in the United States In the last six months, ESG initiatives and antitrust have come to the forefront of legislative and regulatory policy. [read post]
4 Apr 2023, 7:59 am
In response to the Executive Order, DOJ, FTC and the NLRB have agreed to cooperate in the investigation and enforcement of federal laws restricting competition among workers regarding wages or other terms and conditions of employment as well as initiated various regulatory and enforcement projects to further strengthen these efforts. [read post]
15 Nov 2021, 7:48 pm
This post was authored by Amanda Ritchie, Touro College Jacob D. [read post]
12 Jun 2024, 10:05 am
In a PPP, the public sector typically provides regulatory support, land, or financial incentives, while the private sector brings in capital, expertise, and efficiency. [read post]
14 Mar 2019, 6:41 am
The FTC, influenced by more detailed financial industry state regulatory developments such as the New York Department of Financial Services (“NYDFS”) Cybersecurity Regulation and the National Association of Insurance Commissioners (“NAIC”) Insurance Data Security Model Law, both finalized in 2017, proposes to maintain a process-oriented approach, but modify the Safeguards Rule with additional mandates such as requiring: Incident response… [read post]
3 Mar 2022, 9:32 pm
The suit is the latest in a series of Justice Department suits that seek to prevent continued consolidation of the health industry giants following decades of industry consolidation. [read post]
