Search for: "The Regulatory Review"
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27 Apr 2015, 6:29 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Karl Romero (Romero) has been the subject of at least 9 customer complaints over the course of his career. [read post]
22 Feb 2018, 11:05 am
Donahue claimed and testified, however, that the firm reviewed the transactions and found them acceptable after discussing them with the clients. [read post]
7 Nov 2020, 9:33 pm
While last Tuesday’s elections may well affect broadcast regulation in the future, there were several regulatory developments in the last week of immediate significance to broadcasters. [read post]
3 Jul 2010, 9:33 am
There’s been a lot in the news about the financial regulatory overhaul bill currently working itself out in Congress and, with the bill expected to be signed into law by the Fourth of July, it’s a good time to look at how you’re likely to benefit from the bill’s passage. [read post]
22 Jul 2024, 6:40 pm
The society called the increase a contradiction of “explicit assurances,” referring to an official statement posted on X/Twitter in response to a proposed review of the levy on July 8, where Cabinet Secretary Hon. [read post]
16 Dec 2013, 4:53 am
Gevorg Daldumyan was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that he failed to appear for testimony concerning condominium cooperative investments. [read post]
5 Sep 2013, 6:00 am
Turker Ergun (Ergun) settled charges brought by the Financial Industry Regulatory Authority (FINRA) concerning the sale of private securities and misappropriating customer funds by accepting a bar from the securities industry. [read post]
31 Oct 2011, 7:24 am
For those interested in antitrust and regulatory issues specifically, or IO economics more generally, this is a great event and we hope you will consider coming or submitting a paper/ abstract. [read post]
22 Oct 2024, 1:53 pm
CDC, public health and regulatory officials in several states, the U.S. [read post]
1 Jun 2017, 9:10 am
The ESAs will review the draft RTS based on the responses received to the consultation. [read post]
26 Jul 2007, 6:00 am
In today’s business environment, organizations need to respond to an increasing number of document requests, from regulatory compliance issues to internal investigations to full-scale litigation. [read post]
16 Oct 2014, 9:20 pm
The Zoning Administrator (ZA), whose office is part of the District of Columbia Department of Consumer and Regulatory Affairs (DCRA), granted a series of certificates of occupancy to Stadium Group LLC to operate “Stadium Club” as a “Nightclub and Restaurant with accessory parking (Not a Sexually Oriented Business Establishment). [read post]
30 Oct 2024, 10:16 am
Based on the network’s admissions and the FCC’s review of the video, the FCC found six apparent violations of Section 11.45 of the Commission’s Rules. [read post]
15 May 2015, 10:58 am
The Financial Industry Regulatory Authority (FINRA) has permanently barred Nicholas Hansen Harper. [read post]
15 Aug 2021, 11:48 pm
A panel of human rights experts called on the UN member states to place a moratorium on the sale of surveillance technology until there is a regulatory framework that protects human rights. [read post]
30 Nov 2016, 12:59 pm
This installment of our ongoing series prognosticating about the new Presidential administration focuses on the regulatory environment employers may face. [read post]
30 Dec 2010, 4:13 pm
The incoming Chair of the House Financial Services Committee has voiced concern over pace of the Fed’s efforts to implement the derivatives regulatory regime mandated by the Dodd-Frank Act. [read post]
14 Mar 2017, 7:14 pm
In 2016, the Federal Energy Regulatory Commission (FERC) certificated 17.6 billion cubic feet per day (Bcf/d) of new natural gas pipeline capacity. [read post]
5 Aug 2015, 2:06 pm
A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by the Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Robert Michael Diehl. [read post]
6 Nov 2017, 7:11 am
However, for markets and activities not covered by regulatory rules and principles, the FCA’s expectations of authorised firms are less clear. [read post]
