Search for: "Financial Industry Regulatory Authority"
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3 Nov 2021, 6:00 am
According to the report, “these awards highlight an important feature of the Whistleblower Program, which is that a whistleblower may qualify for an award for reporting information first to another government authority or regulatory body… before reporting information to the CFTC. [read post]
3 Nov 2021, 6:00 am
According to the report, “these awards highlight an important feature of the Whistleblower Program, which is that a whistleblower may qualify for an award for reporting information first to another government authority or regulatory body… before reporting information to the CFTC. [read post]
2 Jul 2012, 3:00 am
An agreement between Bayou Funds and Goldman required disputes to be arbitrated before the Financial Industry Regulatory Authority (FINRA). [read post]
17 Jul 2012, 7:22 am
The CFPB’s supervision, to begin this September, is the first time a government regulatory authority will be able to access all the information necessary to see what is going on inside the big credit reporting companies. [read post]
18 Jun 2014, 11:29 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]
3 Mar 2014, 8:08 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]
1 Apr 2014, 11:15 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]
27 Feb 2010, 2:15 pm
Such a point could be reached well before a firm’s regulatory capital is exhausted.Using reverse stress testing, firms identify what could cause their business to fail and use this information to ensure that the relevant risks are sufficiently well-understood and appropriately managed to secure consumer protection and market confidence.The Financial Services Authority views reverse stress testing as an important complement to the suite of stress tests that firms are… [read post]
30 Dec 2011, 12:37 pm
— The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Edward D. [read post]
17 Mar 2012, 4:17 pm
Felix Investments and Mazzola have, however, settled a related but separate action with the Financial Industry Regulatory Authority with the firm consenting to pay a $250,000 fine and Mazzola a $30,000 fine. [read post]
7 Apr 2021, 7:13 pm
About the Author Recognized by her peers as a Martindale-Hubble “AV-Preeminent&rdq [read post]
3 Aug 2018, 3:46 am
A form of temporary or limited permission is nothing new in the UK financial services industry. [read post]
22 May 2019, 9:02 am
Regulators Go After Broker-Dealers and Woodbridge The SEC and the Financial Industry Regulatory Authority (FINRA) have been going after brokerage firms and brokers that sold the Woodbridge investments to customers. [read post]
14 May 2021, 1:43 am
Industry reaction Needless to say there is much concern about the ending of the eviction ban. [read post]
21 Sep 2014, 9:15 am
"Affiliated business arrangements" that are disclosed to consumers and follow the regulatory rules are permitted under the law. [read post]
28 Sep 2016, 9:24 am
Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
14 May 2021, 1:43 am
Industry reaction Needless to say there is much concern about the ending of the eviction ban. [read post]
20 Jun 2021, 7:37 am
Under the agreement, Ocugen was responsible for clinical development, regulatory approval (including obtaining an Emergency Use Authorization [EUA], and commercialization of COVAXIN in the U.S. [read post]
1 Dec 2008, 4:14 pm
Financial Markets Crisis Blog This blog is authored by Alston & Bird’s Financial Markets Crisis Task Force and focuses on the rapidly changing business and legal issues raised by the current financial markets crisis. [read post]
7 Aug 2023, 11:16 am
FINRA’s Involvement with Artificial Intelligence In 2020, the Financial Industry Regulatory Authority (FINRA) issued the report “Artificial Intelligence (AI) in the Securities Industry” in which it examined the key applications of AI by broker-dealers and their firms, pin pointing on the areas of communications with customers, investment procedures, and operational functions that take place. [read post]
