Search for: "Financial Industry Regulatory Authority"
Results 9081 - 9100
of 11,239
Sorted by Relevance
|
Sort by Date
27 Dec 2012, 4:35 am
Stamer also works extensively with management, service provider and other clients to monitor legislative and regulatory developments and to deal with Congressional and state legislators, regulators, and enforcement officials about regulatory, investigatory or enforcement concerns. [read post]
7 Jan 2022, 8:55 pm
Financial Regulatory Working Group. [read post]
18 Mar 2022, 7:44 am
Authorities have locked down the northeastern industrial hub of Changchun since March 11, forbidding 9 million residents from leaving their neighborhoods. [read post]
4 May 2022, 9:01 pm
In addition, the Financial Industry Regulatory Authority, Inc. [read post]
17 May 2020, 8:14 am
Still, the basic functions--to quantify and identify, to protect the moral values of the social order, and to bear responsibility for public works and finances (moral and financial corruption), continues to define the function of civil society, and to drive their work. [read post]
18 Jun 2020, 7:26 am
But some retail industry observers are concerned about potential long-term costs from the pandemic. [read post]
1 Mar 2012, 3:12 pm
One complicating factor is shared regulatory authority. [read post]
30 Aug 2023, 9:05 pm
As we have previously noted, regardless of industry, size or performance, no company is too large, too popular, too new or too successful to consider itself immune from activism. [read post]
8 May 2018, 3:25 pm
The initiative proved to be highly controversial and became a lightning rod for media, industry, and Congressional criticism of the Bureau. [read post]
6 Jul 2009, 7:58 am
[Ed. note: This post is authored by Evan Jowers and Robert Kinney of Kinney Recruiting, sponsor of the Asia Chronicles. [read post]
24 Feb 2023, 8:22 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
14 Aug 2020, 8:48 am
In parallel actions, the Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA) hit Interactive Brokers with penalties of $11.5 million and $15 million, respectively. [read post]
31 May 2012, 6:54 am
Employee Internet posts not only implicate the financial rules of the Securities and Exchange Commission, as was the case for Francesca's, but they can also create compliance issues under the regulations of other agencies, including: Financial Industry Regulatory Authority (FINRA), Federal Trade Commission (FTC), Food and Drug Administration (FDA) and National Labor Relations Board (NLRB), Office of the General Counsel. [read post]
29 Sep 2011, 1:38 pm
An SEC filing submitted last month by Edward Jones indicates that that the Financial Industry Regulatory Authority, or FINRA, and the state of South Dakota were investigating the former brokers as well. [read post]
9 Dec 2011, 7:55 am
Taxpayer Bailout Mathur helped to create one of Abbar’s transactions, according to an arbitration claim Abbar has filed with the Financial Industry Regulatory Authority. [read post]
3 Jun 2016, 7:04 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
28 Jan 2020, 9:58 pm
When originally implemented, the medical records industry generally understood that the Patient Rate limitations applied only to requests for PHI made by the patient for use by the patient. [read post]
26 Apr 2012, 2:22 pm
Arguing that an ISP does not have authorized access to regulate its own networks may be nearly impossible to assert given their financial right to the infrastructure as well as their responsibility to protect its functionality for all users. [read post]
20 Oct 2023, 6:00 am
Industry Developments SPOTLIGHT: Want a Discount? [read post]
24 Aug 2013, 8:58 pm
The for-profit industry itself has argued for an expansion of regulatory scope to all colleges, presumably not because that would lead to quicker controls on for-profit schools' own operations. [read post]
