Search for: "Financial Industry Regulatory Authority"
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10 Mar 2015, 1:18 pm
Justice Alito continues: Even the United States accepts that Congress “cannot delegate regulatory authority to a private entity. [read post]
25 Jul 2012, 11:26 am
The result would be a complex and confusing regulatory scheme exposing US futures commission merchants and swaps dealers to considerable regulatory risk and effectively expand the CFTC’s reach into many jurisdictions around the world. [read post]
18 Apr 2011, 11:59 am
The FTC serves as the enforcement authority. [read post]
18 Apr 2011, 11:44 am
The FTC serves as the enforcement authority. [read post]
28 May 2015, 7:49 am
For example, in expressing concerns over the effects of these state laws, the Financial Industry Regulatory Authority (FINRA) noted that its Regulatory Notices 10-06 and 11-39 provide that securities firms must establish procedures to review registered representatives’ written and electronic business correspondence, including interactive electronic communications that the firm or its personnel send through social media sites. [read post]
18 Jan 2012, 11:26 am
The buried arbitration provision that had Cohan seeing red is a nonnegotiable agreement to submit all claims to a mediation or arbitration process overseen and administered by the Financial Industry Regulatory Authority, or FINRA, the powerful self-regulatory organization that overseas broker dealers and their registered representatives. [read post]
18 Jan 2012, 11:26 am
The buried arbitration provision that had Cohan seeing red is a nonnegotiable agreement to submit all claims to a mediation or arbitration process overseen and administered by the Financial Industry Regulatory Authority, or FINRA, the powerful self-regulatory organization that overseas broker dealers and their registered representatives. [read post]
21 Jul 2009, 3:49 am
How to sign up to take the Series 7 The Financial Industry Regulatory Authority (FINRA) administers the Series 7 in the United States at Thomson Prometric Testing Centers or Pearson Professional Center. [read post]
1 Aug 2020, 12:47 am
Peachcap Securities is a member firm of the Financial Industry Regulatory Authority (FINRA) and David Miller was in the employment of the firm when he allegedly committed the acts alleged in the customer disputes. [read post]
1 Aug 2020, 12:47 am
Peachcap Securities is a member firm of the Financial Industry Regulatory Authority (FINRA) and David Miller was in the employment of the firm when he allegedly committed the acts alleged in the customer disputes. [read post]
28 Apr 2014, 12:00 pm
In addition to the expansion project, the Panama Canal Authority procures over $200 million in goods and services annually for its daily operations and maintenance. [read post]
12 Aug 2011, 4:01 am
Filed under: fiduciary duties, financial regulation [read post]
27 Mar 2017, 7:12 am
According to reports, Kahn and Cervino were affiliated with Primary Capital in New York and were barred from the securities industry by the Financial Industry Regulatory Authority Inc. [read post]
22 Jun 2011, 8:56 am
Among the many reasons that factored into my decision is Nixon Peabody’s unparalleled expertise with the legal issues that impact ocean-based renewable energy projects and the firm’s commitment to and enthusiasm for working with developers and other interested entities who want to see the United States’ offshore renewable energy industry flourish.Nixon Peabody has one of the broadest energy practices in the country and has served the needs of energy industry… [read post]
3 Jul 2011, 6:16 am
I shudder to imagine the utter silliness of financial regulation under such conditions. [read post]
17 Feb 2023, 8:23 am
With people conducting an increasing amount of their financial, medical, and educational activity online, the handling of sensitive data, including personal information, is of great and growing importance, especially when it comes to meeting regulatory requirements and protecting confidentiality. [read post]
10 Nov 2022, 4:00 am
The inability of ordinary Canadians to get legal advice has not only begun to erode the public’s confidence in the self-regulatory authority of lawyers to control market participation but also given rise to new technologies aimed at supplanting traditional legal services altogether. [read post]
19 Aug 2010, 5:31 am
Any new regulatory program to control non-O157:H7 STECs will likely impose significant financial and regulatory burdens on the meat industry and these costs must be weighed against any public health benefit. [read post]
14 Oct 2019, 7:40 am
Also, the Commission seeks industry input whether the de minimis threshold for commodity benchmarks is appropriately set. [read post]
13 Jul 2008, 10:55 pm
• The Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth) applies to a wide range of financial services providers, the gambling industry and others. [read post]
