Search for: "Financial Industry Regulatory Authority"
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4 Jan 2017, 1:06 pm
We also expect significant regulatory developments, including with respect to the OCC’s proposal for special purpose FinTech charter, which has the potential to facilitate regulatory compliance for start-ups launching innovative financial products and services. [read post]
22 Aug 2011, 5:53 pm
The analogy between the legal profession to other deregulated industries, such as the airline industry, that the authors cite, is simply not relevant. [read post]
4 Feb 2010, 5:01 am
The SEC oversees a total of more than 35,000 registrants, including over 10,000 public companies, 7,800 mutual funds, about 11,500 investment advisers, 5,400 broker-dealers, 600 transfer agents, 12 securities exchanges, 10 nationally recognized statistical rating organizations (NRSROs), and self-regulatory organizations (SROs) such as the Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, and Public Company Accounting… [read post]
2 Sep 2022, 9:05 pm
About the author: Jonathan Sharp currently serves as Chief Financial Officer at Environmental Litigation Group, P.C., a law firm based in Birmingham, AL, that specializes in toxic exposure cases. [read post]
4 Jun 2020, 7:30 am
-based trade group (Jackson also authors the monthly Payments 3.0 column for Digital Transactions). [read post]
6 Sep 2011, 2:00 am
Hanson says the industry might even consider Cordray a “scarier choice” than Warren. [read post]
27 Mar 2012, 12:18 am
In deciding whether to award exemplary damages the courts should take into account the financial situation of the media organisation concerned (para 134). [read post]
26 Oct 2012, 11:28 am
" The gist of his column is that financial advisors need to be ready to shift gears and go to a new firm in case something happens at their present firm. [read post]
4 Aug 2009, 11:47 am
This development is part of a trend that is far larger than the financial services industry. [read post]
4 Dec 2020, 7:00 am
Now, with Joe Biden as the incoming president, more stable regulatory and financial policies are expected, which will create an environment conducive to deal-making. [read post]
1 Jun 2020, 9:14 am
The Financial Industry Regulatory Authority (FINRA), the organization which regulates the conduct of stockbrokers, generally prohibits brokers from borrowing money from their customers. [read post]
31 Jul 2008, 5:13 pm
The SEC and Financial Industry Regulatory Authority are also investigating the sales practices and disclosures firms made to investors with respect to auction-rate securities. [read post]
16 Jun 2008, 4:39 pm
Fortunately, the Financial Industry Regulatory Authority (FINRA) has now stepped in to tell broker-dealers that they cannot refuse to transfer ARS when their customers want to sell them to third parties. [read post]
12 Oct 2011, 1:37 pm
The broker-dealers firms are overseen by both the SEC and the Financial Industry Regulatory Authority, or FINRA, a self-regulatory organization. [read post]
7 Jul 2014, 6:27 am
White announced the following new initiatives the SEC will undertake: Assist the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) to finalize a “best execution” rule for the municipal securities market and develop practical guidance for brokers to achieve best execution; Work with FINRA and MSRB to develop rules by the end of the year to require disclosure of markups (i.e., dealers’ compensation) in… [read post]
25 Feb 2013, 1:43 pm
The NEP examines all regulated entities, such as investment advisers and investment companies, broker dealers, transfer agents and self-regulatory organizations, and exchanges. [read post]
2 Jul 2020, 8:40 am
The European Banking Authority, the European Securities and Markets Authority and the European Insurance and Occupational Pensions Authority — collectively the European Supervisory Authorities — responded on Monday to the commission’s consultation on how it should regulate growing pressure on financial sectors to move online. [read post]
15 May 2012, 2:00 am
In the Order, the FRB detailed its exhaustive analysis on the CCS of ICBC by the China Banking Regulatory Commission and other regulatory authorities including, among others, the People’s Bank of China, the State Administration of Foreign Exchange, China Securities Regulatory Commission and China Insurance Regulatory Commission. [read post]
16 Nov 2017, 11:00 am
SAGIA (Saudi Arabian General Investment Authority), formed in 2000, and given more legal authority in 2006, is the regulator of these cities. [read post]
18 Mar 2021, 1:52 pm
Relativity Trace is used by compliance teams at some of the largest global financial institutions and corporations to proactively detect regulatory misconduct like insider trading, collusion and other non-compliant behavior to help protect against financial and reputational damage. [read post]
