Search for: "Financial Industry Regulatory Authority"
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27 Mar 2019, 8:13 am
Author of leading works on a multitude of labor and employment, compensatio [read post]
5 Jan 2022, 10:26 am
For more about how to do this, we recommend that the administration consult a just-released Mercatus Center policy brief that Andrew Mercado and I co-authored. [read post]
7 Jun 2022, 9:01 pm
The criteria for “liquidity robustness” will be determined by the Commission through Level 2 regulatory technical standards. [read post]
21 Oct 2009, 6:04 am
Thanks to extraordinary action by monetary and regulatory authorities, we're now in a period of relative stability. [read post]
28 Feb 2024, 9:06 am
In Florida, the foodservice industry is regulated by stringent guidelines to ensure the safety and health of its patrons. [read post]
13 May 2012, 12:00 pm
This fact underlines the importance of the outcome of the deliberations of the SEC and of the Financial Stability Oversight Counsel in this area.While hopeful that US authorities will take action, observed the UKofficial, if they do not, the EU and other global authorities will need to determine what if any measures they could sensibly take to make the financial system more resilient to the fault line that the money fund industry currently represents. [read post]
28 May 2009, 2:26 am
And yet, the recent financial crisis, and the resulting push for financial regulatory/corporate governance legislation from the next administration and Congress to generate the empty appearance of reform, puts our status in the corporate pantheon in jeopardy like never before.The credit card industry, the incorporation franchise, and Delaware's prominence among bank holding companies are at… [read post]
24 Oct 2016, 9:30 pm
In response to growing public concerns about high-frequency trading, BaFin—the German Federal Financial Supervisory Authority—began implementing the HFT Act in 2013. [read post]
19 Jun 2023, 7:22 am
Governmental authority has shaped the broadcast industry in terms of invention, competition, and content, including how it serves local communities with news and information. [read post]
17 Oct 2019, 7:00 am
Securities and Exchange Commission 19-343Issues: (1) Whether Rule 2030 – which regulates the political contributions of those members of the Financial Industry Regulatory Authority who act as “placement agents” – violates the First Amendment by (a) imposing different contribution limits on candidates running for the same office, and/or (b) restricting otherwise lawful political activity despite the Security and Exchange Commission’s… [read post]
6 Jun 2013, 9:37 pm
Chamber of Commerce, recommended the adoption of industry best practices and core principles. [read post]
29 Apr 2019, 4:39 pm
While the CFTC has enforcement authority, they do not have the authority to directly supervise the bitcoin trading market. [read post]
5 Jul 2010, 7:59 pm
The following is a summary review of articles from all over the nation concerning environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
23 Jul 2020, 9:05 pm
Food and Drug Administration (FDA) authorized the use of so-called pooled samples when testing for COVID-19. [read post]
14 Feb 2019, 4:44 am
In order to take advantage of the TPR firms and funds need to make a notification to the UK Financial Conduct Authority (FCA) or UK Prudential Regulation Authority (PRA) as appropriate before the end of 28 March 2019. [read post]
1 Nov 2015, 5:44 pm
The industry has alread [read post]
9 Feb 2023, 9:05 pm
Given the industry’s exposure to the technology sector, the ongoing war in Ukraine [read post]
11 May 2016, 9:30 pm
He also presented three main sets of regulatory solutions that are available to regulators: enact broad principles of business conduct and rely on litigation to determine whether these principles have been met; enact more specific, technical rules and engage in administrative enforcement; or make overarching structural change to an industry. [read post]
25 May 2020, 3:57 am
Center Street Securities, Inc. is a member firm of the Financial Industry Regulatory Authority (FINRA) and Satya Shaw was in their employment when the alleged conducts of the pending customer disputes were carried out. [read post]
25 May 2020, 3:57 am
Center Street Securities, Inc. is a member firm of the Financial Industry Regulatory Authority (FINRA) and Satya Shaw was in their employment when the alleged conducts of the pending customer disputes were carried out. [read post]
