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12 Sep 2016, 7:18 pm
For example, the number of filings spiked in the immediate aftermath of the global financial crisis. [read post]
21 Sep 2011, 5:12 pm
The Financial Services Authority The Financial Services Authority operates a statutory “fit and proper person” test with regard to authorised persons in the financial services industry. [read post]
3 Apr 2023, 2:26 pm
In cases involving violations of Financial Industry Regulatory Authority (FINRA) rules, plaintiffs may be able to seek relief through FINRA arbitration. [read post]
25 Jan 2024, 4:00 pm
Lighthouse Launches Industry’s First AI-Powered Privilege Review Lighthouse, a leader in technology-enabled eDiscovery, compliance, and information governance services, today announced the launch of Lighthouse AI Privilege Review, the industry’s first AI-powered privilege review. [read post]
15 Mar 2024, 8:58 am
Unfortunately, we have no idea how far the FCC intends to go with its Section 214 authority. [read post]
14 Nov 2023, 4:53 pm
This article was co-authored with Kate Green and Rachael Lee. [read post]
14 Jul 2022, 7:01 am
The companies jointly issued a “self-disciplined development proposal” for the “digital collectible industry,” a rebranded term for NFTs in China to do away with the technology’s financial aspects. [read post]
27 Mar 2017, 12:57 pm
Ballard Spahr attorney James Kim, a former senior CFPB enforcement lawyer who now represents industry, was also a panel member. [read post]
22 Feb 2017, 11:55 am
We will continue to monitor the New York, New Mexico, and Indiana proposed laws, as well as legislative and regulatory developments affecting the small-dollar lending industry in other states. [read post]
22 Jun 2023, 8:54 am
-Report to Regulatory Authorities: File a complaint with the appropriate regulatory body such as the Securities and Exchange Commission (SEC) or your country’s equivalent agency. [read post]
26 Apr 2022, 12:12 pm
Solutions Law Press, Inc. author and publisher Cynthia Marcotte Stamer will moderate the program. [read post]
14 Nov 2011, 7:50 am
Depending on the target or industry, the sale of a regulated entity in an auction process in Canada may present specific regulatory hurdles for certain non-Canadian buyers under the Investment Canada Act or for both Canadian and foreign buyers under other applicable Canadian federal or provincial legislation in certain regulated industries (e.g. transportation, financial services and insurance, telecommunications and agriculture). [read post]
1 Dec 2011, 1:58 pm
In August the Abbars filed a securities arbitration claim with the Financial Industry Regulatory Authority (FINRA), the U.S. securities industry's self-regulator. [read post]
21 Apr 2023, 8:00 am
The Financial Industry Regulatory Authority (FINRA) provides regulatory services to the financial industry by licensing and regulating brokerage firms. [read post]
8 Apr 2010, 12:29 pm
” To say the least, the conduct created a huge conflict of interest between Goldman and its “sucker” clients, and violated securities laws and regulatory rules, including the “fair dealing” requirement of the Financial Industry Regulatory Authority (FINRA), which is responsible for regulating the sales practices of such firms. [read post]
25 Feb 2012, 3:13 pm
While the Financial Industry Regulatory Authority has thought about cracking down on private REITS, Forbes.com says that the SRO hasn’t done a lot in this respect. [read post]
1 May 2023, 8:30 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
18 Apr 2023, 4:21 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
23 Mar 2023, 9:04 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
29 Nov 2010, 8:05 am
In the diplomatic negotiating event, the “experts and enthusiasts” of the northern environmental lobby departed, predictably, from anything the rich country publics, in the midst of financial crisis on top of everything else, might have been expected to support. [read post]
