Search for: "Financial Industry Regulatory Authority"
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13 Apr 2023, 5:01 am
As security flaws keep software and entire supply chains vulnerable, it is time now for policymakers to set regulatory lanes for developers to build safe and secure technology. [read post]
26 Sep 2019, 9:10 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Boatright’s recent customer complaints concern allegations of unsuitable investment recommendations. [read post]
19 Jan 2017, 7:26 am
The examination priorities also provide that OCIE intends to expand its administration of the Financial Industry Regulatory Authority (“FINRA”), focusing on its regulatory programs and its broker-dealer examinations. [read post]
19 Jan 2017, 7:26 am
The examination priorities also provide that OCIE intends to expand its administration of the Financial Industry Regulatory Authority (“FINRA”), focusing on its regulatory programs and its broker-dealer examinations. [read post]
13 Aug 2007, 11:17 am
The Financial Industry Regulatory Authority (FINRA) is the organization that oversees almost all securities arbitration disputes involving customers. [read post]
14 Dec 2010, 8:49 am
The Commission recommended that the Health Act 2007 be amended to extend the authority of the Health Information and Quality Authority (HIQA) to regulate and monitor the provision of professional care in the home. [read post]
6 Nov 2007, 1:03 pm
The Financial Industry Regulatory Authority (FINRA) is the organization that oversees almost all securities arbitration disputes involving customers. [read post]
11 Mar 2019, 2:17 pm
Schmidt, who also ran Schmitt Investment Strategies Group in Ohio and was already barred by the Financial Industry Regulatory Authority (Finra), was fired by Wells Fargo in 2017. [read post]
27 Nov 2014, 12:00 am
The reality of the most notorious virtual currency is that it is only a matter of time before it comes under the purview of a regulatory body. [read post]
7 Jan 2020, 10:21 am
FINRA and MSRB – OCIE will continue its oversight of the Financial Industry Regulatory Authority by focusing examinations on FINRA’s operations, regulatory programs, and the quality of FINRA’s examinations of broker-dealers and municipal advisors. [read post]
8 Nov 2016, 11:24 am
We are only now beginning to see clear regulatory movement towards laws of this nature in the region. [read post]
26 Apr 2022, 9:01 pm
We had little post-trade transparency in the fixed income markets until two decades ago, when the predecessor to the Financial Industry Regulatory Authority (FINRA) established the Trade Reporting and Compliance Engine (TRACE). [read post]
7 Jul 2017, 2:00 am
The regulatory and client response has been significant. [read post]
7 Nov 2008, 5:35 pm
Other potential candidates who have been mentioned in press reports include current Commissioner Elisse Walter; New Jersey Governor Jon Corzine; New York Attorney General Andrew Cuomo; Damon Silvers of the AFL-CIO; John Olson, a partner with Gibson, Dunn & Crutcher; Mary Schapiro, a former SEC commissioner who is CEO of the Financial Industry Regulatory Authority; and Robert Pozen of MFS Investment Management. [read post]
28 Jan 2023, 7:32 am
The investment industry has tried to push back, "pressing the importance of environmental, social and governance considerations in U.S. financial markets ahead of an expected pushback from Republican Party aligned officials as they take control of the House. [read post]
6 Oct 2023, 9:00 am
Roger Marshall, a Republican who threatened to withhold his support for the National Defense Authorization Act if the CCCA didn’t get a vote. . . . [read post]
16 Jul 2011, 11:13 am
The hotbeds of the industry are three states with a light regulatory touch-Delaware, Wyoming and Nevada. [read post]
29 Sep 2011, 3:16 pm
The author of this blog is Douglas McNabb. [read post]
29 Sep 2011, 3:16 pm
The author of this blog is Douglas McNabb. [read post]
23 Aug 2021, 5:01 am
Data brokers constitute a large yet secretive industry of companies buying, aggregating, selling, licensing and otherwise sharing consumer data. [read post]
