Search for: "Financial Industry Regulatory Authority"
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17 Dec 2009, 6:33 am
The public and political perception that undue risk-taking was central to the breakdown of the financial and credit markets has fueled an extensive legislative, regulatory, and even judicial focus on risk management and risk prevention. [read post]
24 Jul 2020, 12:10 am
Thompson also worked with leaders of the financial services industry to reform the operations of the New York Stock Exchange, and spearheaded the City's innovative Banking Development District program. [read post]
24 Jul 2020, 12:10 am
Thompson also worked with leaders of the financial services industry to reform the operations of the New York Stock Exchange, and spearheaded the City's innovative Banking Development District program. [read post]
29 Apr 2010, 12:24 am
Recently, since the Cayman Islands have consented and complied with the OECD demands, several banks have closed, the government threatened to revoke the charters of companies that had not proved considerable domestic activity, and have compelled the financial industry to not guarantee absolute financial secrecy to its clients. [read post]
26 Dec 2018, 6:33 am
The representatives also cited concern among the blockchain industry at what the bill’s authors believe may be conflicting statements from SEC Chairman Jay Clayton and William Hinman, Director of the SEC's Division of Corporation Finance, whom they say have “alarmed” and “encouraged” the blockchain industry. [read post]
18 Sep 2024, 1:43 am
The financial interest of puppy mill operators dominates the AKC’s policy-making apparatus, and these bills could threaten profits if they lead to some of the worst actors being penalized or shut down. [read post]
20 Apr 2010, 7:58 am
OUTLINE Airline Industry: Is It Emerging from the Financial Crisis? [read post]
29 Feb 2024, 9:01 pm
Given these challenges, the proposed rules have been met with industry pushback. [read post]
3 Nov 2023, 12:37 pm
As Goldman Sachs points out: [AI] is poised to unlock new business models, transform industries, reshape people’s jobs, and boost economic productivity. [read post]
6 Sep 2023, 9:01 pm
Moreover, the SROs, in their regulatory function, are users of the CAT, so they, like the Commission, have less interest in constraining the CAT’s power as a regulatory tool. [read post]
10 May 2023, 12:55 pm
Financial Industry Regulatory Authority (FINRA) Rules The Financial Industry Regulatory Authority (FINRA) works alongside the SEC to regulate the U.S. securities markets. [read post]
28 Sep 2015, 2:10 pm
In response to certain long-standing industry practices that it views as prohibited by the FLSA, DOL has included oil and gas industry and a broad range of other employers among the industries that DOL is specifically targeting for investigation and enforcement of minimum wage, overtime and other FLSA violations as well as educational outreach to employers and employees in the industry. [read post]
16 Jan 2018, 8:42 am
Assertively seek legal authorization to offer notice to users. [read post]
14 Jan 2013, 9:24 pm
Stamer regularly works with agencies, publishes and speaks extensively on human resources and employee benefits, medical and other privacy and data security, health and managed care industry regulatory, staffin [read post]
3 Nov 2011, 10:35 am
Insurers fear, however, that including ORSA as part of Form B will result in each insurer legal entity within the group being required to file its own ORSA report with its respective domiciliary insurance regulatory authority, thus leading to much duplication of effort. [read post]
8 Dec 2020, 6:34 am
In the meantime, we expect existing banking regulators will continue to issue rules and guidance to address how digital assets fit within the current financial regulatory framework. [read post]
31 Mar 2021, 12:58 pm
Robert Luley Jr. is currently registered with two Financial Industry Regulatory Authority (FINRA) member firms. [read post]
31 Mar 2021, 12:58 pm
Robert Luley Jr. is currently registered with two Financial Industry Regulatory Authority (FINRA) member firms. [read post]
21 Feb 2012, 3:26 am
Representatives from the Press Board of Finance, Ofcom and the Advertising Standards Authority gave evidence on differing regulatory systems. [read post]
12 Nov 2020, 9:43 am
In short, the regulatory environment in China allows for intrusive technical surveillance of internet traffic and data at rest. [read post]
