Search for: "Financial Industry Regulatory Authority"
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23 Apr 2020, 7:54 am
Industry Developments SPOTLIGHT: Leaked Pics Reveal Google Smart Debit Card to Rival Apple’sTechCrunch – April 17, 2020 Would you pay with a “Google Card? [read post]
10 Sep 2013, 8:58 pm
In a recent installment of our monthly Law360 column, this time co-authored with our McGuireWoods colleague Helen Suh, we discussed private equity and venture capital activity in the medical device space. [read post]
1 Jun 2010, 1:20 pm
This was a provision authored by Senator Al Franken and adopted as an amendment to the Senate bill. [read post]
9 Aug 2018, 9:30 pm
Bureau of Consumer Financial Protection (BCFP), the United Kingdom’s (UK) Financial Conduct Authority, and 10 other international regulators announced the creation of the Global Financial Innovation Network (GFIN). [read post]
4 Feb 2014, 8:07 am
The effect of such a system is to artificially subsidize the financial services industry. [read post]
27 May 2013, 5:30 pm
Financial regulation may need to include governance regulation. [read post]
29 Nov 2007, 8:33 pm
For law enforcement and regulatory agencies at the federal, state, and local level, IC3 provides a central referral mechanism for complaints involving Internet related crimes. [read post]
18 Apr 2011, 4:40 pm
… Oh yeah - the nuclear industry and the federal government! [read post]
19 Sep 2019, 9:05 pm
Department of the Treasury proposed new rules that would expand the authority of the Committee on Foreign Investment in the United States (CFIUS) to review financial transactions that affect U.S. national security interests. [read post]
30 Nov 2011, 1:02 pm
He mentioned Notice 05-48 to members of the Financial Industry Regulatory Authority (FINRA) that says members may outsource any function, but they cannot outsource their responsibility for compliance with federal securities laws or regulations. [read post]
28 Oct 2010, 8:07 am
The SEC expresses concern that an exchange could put its interests and those of its members ahead of its regulatory responsibilities by failing to take regulatory or enforcement action or adequately fund self-regulation. [read post]
2 May 2022, 2:12 pm
Stamer helps health industry and other organizations and their management manage. [read post]
23 Dec 2009, 4:42 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]
29 Apr 2021, 5:01 am
Also, one’s financial institution, retailer, and employer may well be submitting data to the brokering industry. [read post]
1 Dec 2023, 10:14 am
Boycotting (or “negative screening,” in modern parlance) was one way to shift financial flows away from industries that did not respect human rights while raising awareness of serious supply chain problems that harmed workers or communities. [read post]
25 Jun 2019, 9:05 pm
The Financial Conduct Authority (the U.K. counterpart to the U.S. [read post]
27 Jul 2023, 4:40 am
Financial Industry Regulatory Authority (FINRA), is responsible for overseeing the activities of brokerage firms, and for enforcing rules and regulations related to the trading of securities. [read post]
5 Apr 2021, 11:35 am
Noyes & Company, a Financial Industry Regulatory Authority (FINRA) member firm, between July 2015 and April 2019. [read post]
5 Apr 2021, 11:35 am
Noyes & Company, a Financial Industry Regulatory Authority (FINRA) member firm, between July 2015 and April 2019. [read post]
15 Sep 2017, 5:57 pm
The Two Swords-One Thrust Strategy combines the power of state officials to exercise discretion in managing anti-corruption laws and the authority of financial institutions to control the access of enterprises to their investment universe or to exercise their shareholder authority to influence corporate behavior. [read post]
