Search for: "Financial Industry Regulatory Authority"
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28 Jul 2020, 1:59 pm
I welcome guest post submissions from responsible authors on topics of interest to this site’s readers. [read post]
13 Nov 2018, 7:27 am
Black market sales are playing with fire given the uncertainty of how federal authorities are going to handle future sales. [read post]
6 Dec 2021, 8:07 am
Because of uncertainties about the facts and circumstances of the underlying conduct, consent orders cannot clearly communicate the Bureau’s regulatory expectations to industry. [read post]
9 Oct 2020, 12:08 pm
She stressed, however, that most individuals do not speak out purely for the financial benefit of doing so. [read post]
1 Jul 2020, 11:13 am
The decision has a number of immediate consequences: First, it is clear that the President has the authority and power to remove the incumbent CFPB Director and appoint a new director at will. [read post]
28 Jan 2011, 9:58 am
From the code page, click on the link to the right for “Parallel Authorities (CFR)” (I used the Regulatory Flexibility Act, mentioned above, as the example). [read post]
28 Jan 2011, 9:58 am
From the code page, click on the link to the right for “Parallel Authorities (CFR)” (I used the Regulatory Flexibility Act, mentioned above, as the example). [read post]
30 Jan 2020, 2:00 am
With a background screening partner that continuously monitors the regulatory background check landscape for your industry, you can stay educated and informed about: New laws that require changes to your application, interview, or hiring process Location-specific delays that will impact the timing of criminal background searches Updates to required disclosure and authorization forms 3. [read post]
12 Apr 2021, 2:35 am
Many national regulatory authorities—in order to raise state revenues—actively try to extract rents from operators. [read post]
17 Nov 2014, 11:36 am
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
13 Nov 2011, 7:14 pm
Dodd-Frank also establishes the Federal Insurance Office (FIO) with the authority to monitor all aspects of the insurance industry. [read post]
5 Feb 2013, 7:30 am
Representative events include: the Dow Jones Private Equity Advisor’s Conference; the National Association of Criminal Defense Lawyers – Stetson University Law School’s “White Collar Crime College;” American University’s Washington College of Law Summer Program in International Commercial Arbitration; American Bar Association Construction Law Institute; and Financial Industry Regulatory Authority’s Basic and… [read post]
17 Feb 2017, 1:28 pm
This article is co-authored by Daniel B. [read post]
7 Feb 2016, 5:45 am
It reads as follows in Annex II to the TPP agreement: Canada reserves the right to adopt or maintain any measure that affects cultural industries and that has the objective of supporting, directly or indirectly, the creation, development or accessibility of Canadian artistic expression or content, except: a) discriminatory requirements on services suppliers or investors to make financial contributions for Canadian content development; and b) measures restricting the access to… [read post]
14 Jan 2015, 4:51 pm
The VCC includes exceptions to these consent requirements in certain circumstances, such as required disclosures to law enforcement officials and regulatory authorities, disclosures that “preserve the safety and reliability of the electric grid and critical infrastructure,” or disclosures of aggregated or anonymized data. [read post]
31 Oct 2018, 6:23 pm
FINRA For Investors While not technically a government agency, the Financial Industry Regulatory Authority (FINRA) is one of the key authorities tasked with helping to protect individual investors. [read post]
23 Oct 2012, 6:27 am
,” he and his co-author, Professor Henry Butler (also of George Mason Law), critiqued state consumer protection acts as overbroad supplements to the FTC Act. [read post]
11 Aug 2011, 12:51 am
Users in smaller, financially less attractive national markets will also suffer from the resulting territorial discrimination. [read post]
3 Sep 2021, 10:36 am
FINRA’s Red Flags for Excessive Trading The Financial Industry Regulatory Authority (FINRA) has published an Investor Insight that provides some practical tips for investors to protect themselves against excessive trading. [read post]
11 Oct 2011, 1:23 pm
Authors will be notified whether their paper proposals are selected by January 15, 2012. [read post]
