Search for: "Financial Industry Regulatory Authority"
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23 Jul 2010, 7:49 pm
For starters, section 1027(o) of Dodd-Frank explicitly restricts CFPB's authority to enact a usury limit. [read post]
5 Jun 2011, 8:17 pm
The Securities and Exchange Commission (SEC) has joined with the Financial Industry Regulatory Authority (FINRA) to issue a joint Investor Alert to warn investors about complex financial products known as "structured notes with principal protection. [read post]
11 Feb 2019, 11:30 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]
23 Mar 2020, 7:11 am
”“The market volatility enhances the prospect of even more arbitration cases than a pure down market,” said Mr Friedman, a preceding director of arbitration at the Financial Industry Regulatory Authority Inc.It might take some time for arbitration traffic to rise. [read post]
18 Sep 2019, 9:27 am
In January 2018 the Financial Industry Regulatory Authority (FINRA) reportedly barred Mascho for refusing to appear for on-the-record testimony relating to its investigation of fraud, undisclosed outside business activities, and private securities transactions. [read post]
5 Jan 2017, 11:53 am
State AGs and financial regulators are widely expected to ramp up their enforcement of federal and state consumer financial protection laws in response to anticipated changes to the CFPB and other federal regulatory agencies in a Trump administration. [read post]
27 May 2010, 5:30 am
However you may feel about financial regulatory reform in the United States, the provisions in Sen. [read post]
15 Sep 2021, 9:52 am
This article is republished by permission of the author, Cynthia Marcotte Stamer. [read post]
13 Dec 2018, 12:15 pm
Beyond her public policy and regulatory affairs involvement, Ms. [read post]
4 Mar 2022, 9:57 am
In any nascent industry, the question is always build vs. buy. [read post]
4 Mar 2016, 4:00 am
However, following UK Competition and Markets Authority scrutiny, certain assets were sold on to Bloomsbury Professional, which already owns Hart Publishing. [read post]
5 May 2021, 2:12 pm
” Of particular concern, “criminal or regulatory actions increasingly relate to allegations of financial irregularities or accounting misstatements. [read post]
6 Dec 2017, 7:00 am
On the other hand, purchasers in financial services, insurance and manufacturing industries considered tax and accounting due diligence to be the most important, while regulatory due diligence was more concerning to energy and environmental companies. [read post]
21 Jul 2009, 3:24 am
While SEBI is the sole regulatory authority over domestic venture capital investors, both SEBI and RBI have roles to play when it comes to FVCI. [read post]
25 Jun 2018, 4:00 am
The U.N. panel charged with developing rules to govern cyberspace (formally called the Governmental Group of Experts, or GGE) failed to make a consensus report last June for its 2016-17 meeting. [read post]
25 Jun 2018, 4:00 am
The U.N. panel charged with developing rules to govern cyberspace (formally called the Governmental Group of Experts, or GGE) failed to make a consensus report last June for its 2016-17 meeting. [read post]
3 Dec 2023, 6:18 am
He is a frequent speaker and author of numerous articles on eDiscovery and data protection issues, particularly on cross-border issues. [read post]
19 Jun 2024, 5:54 am
To strengthen the ecosystem, the Lithuanian government has simplified migration procedures for foreign professionals and promoted cooperation among various supervisory authorities and industry stakeholders. [read post]
7 Nov 2023, 9:05 pm
In this post, I consider AI in the financial services industry, where it is probably used most [read post]
1 Dec 2021, 11:53 am
Following State Council reforms in 2018, regulatory supervision was handed over to SAMR. [read post]
