Search for: "Financial Industry Regulatory Authority"
Results 9161 - 9180
of 11,239
Sorted by Relevance
|
Sort by Date
26 May 2015, 2:50 pm
In Switzerland, a fund can be marketed to qualified investors without registering with the Swiss Financial Market Authority (“FINMA”). [read post]
26 May 2015, 2:50 pm
In Switzerland, a fund can be marketed to qualified investors without registering with the Swiss Financial Market Authority (“FINMA”). [read post]
21 Jun 2018, 6:55 am
FINRA Disciplinary Report: June 2018Every month and every quarter, securities industry watchdog, the Financial Industry Regulatory Authority (FINRA) releases its report of disciplinary actions against FINRA registered broker-dealers and brokers. [read post]
25 Apr 2016, 4:42 pm
The Regulatory Burden for U.S. [read post]
28 Jul 2022, 12:48 pm
We have made no final decisions on any specific regulatory approach. [read post]
7 Sep 2014, 11:00 am
Why is EB-5 financing important to the hospitality industry? [read post]
23 Jan 2014, 2:00 am
The Financial Industry Regulatory Authority (FINRA), the successor to the National Association of Securities Dealers, Inc. [read post]
7 Feb 2019, 9:30 pm
” The proposed change would reduce federal regulatory authority under the Clean Water Act. [read post]
1 Oct 2021, 9:19 am
The HITECH Act authorizes the FTC to seek civil penalties for violations. [read post]
30 Apr 2019, 10:23 am
Health plans must deliver electronic protected health information (“ePHI”) to electronic applications or software (“apps”) used by plan members, and are responsible under the Health Insurance Portability & Accountability Act (“HIPAA”) Privacy and Security Rules for the security of electronic protected health information (“ePHI”) on apps they sponsor or provide, according to new guidance from the Department of Health & Human Services… [read post]
15 Sep 2009, 9:07 am
As Gursten sizes up the situation, financial troubles in both the trucking industry and state agencies are making an already dangerous situation even worse. [read post]
14 Nov 2011, 8:55 am
We have the SEC and FINRA to watch the financial industry and provide us with assurance that business is being conducted in a lawful manner. [read post]
11 Dec 2007, 9:54 pm
That site was redeveloped with financial assistance provided through the Pennsylvania Industrial Site Reuse Fund and it received a release of liability through Act 2. [read post]
30 Mar 2023, 11:00 am
What can the Federal Energy Regulatory Commission do? [read post]
4 Oct 2011, 9:13 am
A contributor to the University of Kentucky’s continuing legal education manual on health care law, he is considered a statewide authority on Kentucky’s health care regulatory system. [read post]
24 Jun 2016, 2:31 pm
Far-reaching EU regulatory harmonization is apparent in relation to certain industries such as financial services, digital, energy or chemicals. [read post]
28 Jan 2024, 4:17 pm
Consider any legal and regulatory issues: Succession planning may implicate tax, employment, and industry-specific laws and regulations. [read post]
17 Jun 2013, 3:00 am
The legal and regulatory businesses of the major legal publishers were created by acquiring dozens of small, medium and large legal publishing companies and merging their operations. [read post]
22 Aug 2024, 9:05 pm
It creates a lengthy authorization, disclosure, and reporting regime which skews heavily in favor of established financial institutions rather than, as expected, tech companies. [read post]
9 Jun 2021, 6:00 am
No one helps the public and the authorities wonder why the public are losing confidence in the leaders and the financial system. [read post]
