Search for: "Financial Industry Regulatory Authority"
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5 May 2016, 7:46 am
In addition to consulting with small business representatives, the Bureau sought input from the public, consumer groups, industry, and other stakeholders before continuing with the rulemaking. [read post]
22 Jan 2011, 12:04 pm
Financial strength analysis; 3. [read post]
19 Sep 2023, 9:01 pm
Commenters were also concerned about whether the PCAOB has the requisite authority to expand auditor responsibilities. [read post]
15 Oct 2021, 8:43 am
About McGuireWoods’ Financial Institutions Industry Group McGuireWoods’ Financial Institutions Industry Group represents banks, bank holding companies, trust companies and other financial institutions in a full range of corporate, lending and regulatory compliance matters. [read post]
15 Oct 2021, 8:43 am
About McGuireWoods’ Financial Institutions Industry Group McGuireWoods’ Financial Institutions Industry Group represents banks, bank holding companies, trust companies and other financial institutions in a full range of corporate, lending and regulatory compliance matters. [read post]
15 Oct 2021, 8:43 am
About McGuireWoods’ Financial Institutions Industry Group McGuireWoods’ Financial Institutions Industry Group represents banks, bank holding companies, trust companies and other financial institutions in a full range of corporate, lending and regulatory compliance matters. [read post]
12 Sep 2007, 12:20 pm
Wasserman and Phillip Roy Financial Services by Lawrence C. [read post]
28 Feb 2024, 10:53 am
Additionally, they could be subject to civil litigation, which can result in significant financial penalties. [read post]
8 Jul 2010, 12:51 pm
Judicial review of a EUL project based on a challenge to the judgment of the military is, therefore, precluded; although challenges premised upon a violation of the EUL statute or other regulatory law would be subject to review.Following the Industry Forum, a deadline is set for the submission of developer proposals followed by evaluation and selection. [read post]
20 Aug 2010, 9:22 am
Both the SEC and the Financial Industry Regulatory Authority (FINRA) have issued warnings about equity-indexed annuities. [read post]
2 Mar 2020, 7:29 am
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
11 Feb 2020, 7:30 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
25 Jan 2024, 2:07 pm
If you need to report the incident to regulatory authorities, make sure you do so as well. [read post]
27 Dec 2019, 11:12 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
11 Feb 2020, 7:31 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
29 May 2019, 10:59 am
Further, they require each Covered Entity to perform a risk assessment and base its programs and policies thereon, to develop an incident response plan, and to investigate and report data breaches to regulatory authorities in their respective states. [read post]
25 Feb 2013, 3:16 pm
The only problem with this scheme was that it blatantly violated rules of the Financial Industry Regulatory Authority (FINRA), the brokerage industry’s self-regulatory organization. [read post]
11 Apr 2023, 5:16 am
Instead, we recommend that government agencies with authority over cybersecurity should clarify how AI-based security concerns fit into their existing regulatory structures. [read post]
17 Jun 2022, 11:22 am
A former head of the Copyright Office, who now leads a publishing industry lobbying group, famously said that “copyright is for the author first and the nation second. [read post]
17 May 2023, 5:16 am
Addressing the proliferation of the spyware industry and the lack of appropriate regulatory structures to counter it is a solid move in favor of accountability. [read post]
