Search for: "Financial Industry Regulatory Authority"
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10 Feb 2023, 7:10 am
The CFPB uses its Advisory Opinion to remind the real estate settlement services industry that RESPA’s anti-kickback principles apply to the modern digital marketplace. [read post]
10 Jan 2014, 1:45 pm
Brown The Securities and Exchange Commission (the “SEC”) approved two new Financial Industry Regulatory Authority (“FINRA”) rules as part of FINRA’s ongoing rulebook consolidation process. [read post]
16 Jun 2016, 10:08 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority. [read post]
27 Oct 2020, 4:49 am
In its letter to the Financial Industry Regulatory Authority, the staff acknowledged that some of the FPL programs do not comply with the requirements of the broker-dealer customer protection rule. [read post]
24 Jan 2019, 6:49 am
A situation where a sector regulatory authority cannot compel compliance from regulated entities cannot bode well for the sector.Scouting collecting societies...Just last week, the Federal Government unveiledthe Corporate Governance Code applicable to all public companies. [read post]
19 Mar 2018, 5:48 am
Peirce said she is not in favor of giving FINRA any more authority over investment advisers. [read post]
6 Sep 2014, 3:56 pm
Authored by Mercedes Hansen [read post]
24 Aug 2023, 11:18 am
They also involved significant regulatory settlements, which typically can create significant financial and reputational damage to the company, as well as claw backs of compensation and the firing of executives. [read post]
3 May 2012, 4:01 am
The role and status of new media; converging content across print, broadcasting and online platforms; and financial austerity are just some of these testing issues. [read post]
16 Dec 2011, 10:09 am
A cause of action obviously increases the potential financial exposure to companies. [read post]
11 Nov 2020, 6:24 am
The enhanced platform will be especially adept at satisfying requirements from financial services regulators in the United States and overseas, including the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the U.K. [read post]
10 Sep 2013, 8:40 am
But the same could have been said about the financial derivatives trade in 2007. [read post]
31 Oct 2019, 8:06 am
Jake van der Laan, the director and chief information officer of the Information Technology and Regulatory Informatics Division at the Financial and Consumer Services Commission in New Brunswick, Canada moderated the panel. [read post]
22 Sep 2013, 9:46 pm
Disqualifying events include criminal convictions in connection with sales of securities, certain SEC civil and administrative actions and certain other orders from financial service industry regulatory authorities. [read post]
14 Apr 2014, 9:00 am
For example, perceptions of corruption de-legitimate governmental authority, and thus increase the cost of regulatory effectiveness above and beyond whatever the direct regulatory costs of corruption are. [read post]
14 May 2019, 6:08 am
The fact that Iran is still trying to adopt these guidelines is evidence of a financial services industry that is out of step with the rest of the world. [read post]
2 Sep 2008, 8:03 pm
The act, in effect, authorized the bailout of the companies by giving the secretary of the treasury the authority to make unlimited loans to, and equity investments in, both GSEs. [read post]
29 Jan 2009, 2:44 pm
This version also adds a provision authored by Sen. [read post]
29 Jul 2021, 3:50 am
So one of the things that Casey references is a quote from Alex Hamilton, the author of the new book Sign Here. [read post]
6 Sep 2019, 11:43 am
At its most developed, CSC as a regulatory system will merge into and become the way that law itself is expressed. [read post]
