Search for: "Financial Industry Regulatory Authority"
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30 Jul 2013, 12:19 pm
In effect, this view of delegated administrative authority requires agencies to ignore common sense by pursuing their regulatory mission with single-minded ferocity. [read post]
30 Jul 2013, 10:40 am
Research that suggests an industry’s product causes harm may hurt the industry’s financial interests directly by inhibiting sales, or indirectly by undermining the industry’s position in litigation, or by leading to greater regulatory scrutiny and control. [read post]
30 Jul 2013, 8:29 am
On top of that back and forth, we also find that EIAs generates a lot of compliance headaches in terms of unapproved outside sales -- as this recent settlement demonstrates.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without... [read post]
30 Jul 2013, 4:51 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2012, Claimant Edward Jones asserted: violation of the California Trade Secrets Act; breach of contract;breach of fiduciary duty; and unfair competitionin connection with Respondent John C. [read post]
30 Jul 2013, 4:12 am
Some may see this case as nit picking; others will find it a helpful lesson as to what needs to be handled with care.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Olympia Asset Management. [read post]
26 Jul 2013, 4:24 am
In response to the filing of a Complaint on October 19, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA”), Respondent Wade H. [read post]
23 Jul 2013, 12:44 pm
In a separate proceeding with the Financial Industry Regulatory Authority (FINRA), Boleancu was barred from working in the securities industry and ordered to pay $650,000 in restitution. [read post]
22 Jul 2013, 10:34 am
Stamer also regularly works with OCR and other agencies, publishes and speaks extensively on medical and other privacy and data security, health and managed care industry regulatory, staffing and human resources, compensation and benefits, technology, public policy, reimbursement and other operations and risk management concerns. [read post]
16 Jul 2013, 1:06 am
Among the subsets within this larger category of “securities suits” is what the report calls “securities fraud” suits, which as used in the report refers to actions brought by regulatory and enforcement authorities, as well as private securities suits that are not brought as class actions. [read post]
15 Jul 2013, 3:13 pm
Sass Securities was recently fined $100,000 by the Financial Industry Regulatory Authority (FINRA) for distributing misleading marketing material. [read post]
12 Jul 2013, 8:49 am
According to OCR, WellPoint did not: Adequately implement policies and procedures for authorizing access to the on-line application database; Perform an appropriate technical evaluation in response to a software upgrade to its information systems; or Have technical safeguards in place to verify the person or entity seeking access to electronic protected health information maintained in its application database. [read post]
11 Jul 2013, 6:19 pm
Resetting the Regulatory Context: From Command to Lineamientos 542 B. [read post]
11 Jul 2013, 6:00 am
Antonakes’ assertions that the CFPB’s data collection practices are the same as those of the bank regulatory agencies. [read post]
10 Jul 2013, 10:03 am
” This matter involved the regulatory authority of the Board and the County, not any relief against individual water rights holders. [read post]
10 Jul 2013, 3:49 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, George Bussanich submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
8 Jul 2013, 9:30 pm
This post draws from the author’s upcoming article in the Georgia State University Law Review, “The Efficacy of Cybersecurity Regulation." [read post]
6 Jul 2013, 6:23 am
Ogden’s call for disclosure of interests, “especially if the authors are likely to be involved in legal testimony,” ignores that litigants on both sides need access to scientific expertise on the issues that drive litigation and regulatory battles. [read post]
5 Jul 2013, 2:12 am
This somewhat convoluted dispute apparently manifested itself as a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2010 by public customer Claimant Lynne C. [read post]
4 Jul 2013, 9:11 am
Boards must protect the independence of the Chief Risk Officer, and personal responsibility for this should lie with the chair of the risk committee.The Chief Risk Officer should not be able to be dismissed or sanctioned without the agreement of the non-executive directors, and his or her remuneration should reflect this requirement for independence.The Commission proposes a new tool, special measures, which are designed to provide for the deployment of a broader range of regulatory powers… [read post]
4 Jul 2013, 7:12 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Phaedra Danell Spain a/k/a Phaedra Danell Bushnell MS a/k/a Phaedra Danell Bushnell submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
