Search for: "Financial Industry Regulatory Authority"
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28 Jan 2020, 1:38 pm
Stamer also has leading edge experience in health benefit, health care, health, financial and other plan, program and process design, administration, documentation, contracting, risk management, compliance and related process and systems development, policy and operations; training; legislative and regulatory affairs, and other legal and operational concerns. [read post]
20 Sep 2024, 2:40 am
What’s Next for the Regulatory Landscape Post-Chevron is a key practice note authored by attorneys from Holland & Knight examining the Chevron ruling and impacts on a wide range of regulated industries. [read post]
26 May 2018, 1:00 am
This is something that’s filed either with your state regulatory authority if you are between 20 and 90‑something million dollars of assets under management or with the SEC. [read post]
26 Jul 2023, 9:01 pm
First, the Commission rejects financial materiality as the touchstone for its disclosures,[4] and fails to offer in its place a meaningful intelligible limit to its disclosure authority.[5] The release explains that Congress gave “the Commission, which regulates dynamic aspects of a market economy,” “intentionally broad” authority to require disclosures on a wide range of matters, even ones that do “not directly relate to a company’s… [read post]
12 Sep 2018, 6:41 am
This will help give our families the financial stability they need for whatever life throws their way. [read post]
9 May 2019, 1:17 pm
Where the company is in the insurance industry, the process should be keyed to federal and state regulatory requirements. [read post]
9 Jun 2011, 7:29 am
Backgrounds of the new ‘non-solicitor’ members of the Society's Council : Martin Allan (Glasgow -construction industry and local authority officer) - career in the construction industry and holds two honours degrees in construction. [read post]
23 Jun 2021, 7:43 am
Sven Giegold (Greens, DE) agreed with Van Overtveldt on widening the DLTR’s scope to include more financial products, but warned against possible regulatory arbitrage. [read post]
12 May 2011, 5:12 am
The proposed rule also identifies several “structural or behavioral barriers” that could be used to lessen the risk that the potentially conflicting financial interest of an affiliate will influence the contractor’s exercise of judgment during contract performance. [read post]
12 May 2011, 5:12 am
The proposed rule also identifies several “structural or behavioral barriers” that could be used to lessen the risk that the potentially conflicting financial interest of an affiliate will influence the contractor’s exercise of judgment during contract performance. [read post]
30 Jun 2022, 4:02 pm
Levoff ignored these restrictions by repeatedly executing trades based on material, nonpublic information without Apple’s knowledge or authorization. [read post]
15 Nov 2012, 2:54 pm
Oct. 23, 2012), a group of eighteen investors (“Garrett”) brought a claim of statutory and common-law fraud against Morgan Keegan & Company (“Morgan Keegan”) before an arbitration panel of the Financial Industry Regulatory Authority (“FINRA”). [read post]
7 Jan 2022, 6:51 am
CAC’s enforcement actions against Didi could be explained not as a coordinated campaign from central authorities, but rather disjoint actions from independent regulatory agencies competing for primacy. [read post]
17 Mar 2023, 2:56 pm
FINRA’s Six Tips for Recovering Fraudulent Investment Losses The Financial Industry Regulatory Authority (FINRA) oversees the U.S. securities industry alongside the Securities and Exchange Commission (SEC), and it provides an arbitration forum through which defrauded investors can seek to recover their fraudulent investment losses. [read post]
16 Dec 2010, 1:59 am
In Texas Food Industry Ass'n v. [read post]
2 Dec 2020, 5:09 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
22 Feb 2013, 6:53 am
Broker-dealers and investment advisors are required by the Financial Industry Regulatory Authority (FINRA) to demonstrate sufficient due diligence on any particular investment offering. [read post]
12 Apr 2019, 12:41 pm
According to the Financial Industry Regulatory Authority (FINRA) today, the regulator has reportedly barred Thomas H. [read post]
24 Oct 2022, 9:04 am
Fortunately, the Financial Industry Regulatory Authority (FINRA) provides for an arbitration forum for investors to resolve disputes if a broker or brokerage firm makes an? [read post]
12 Feb 2010, 7:36 am
The award was made on Dec. 23 and was posted recently on a website maintained by the Financial Industry Regulatory Authority. [read post]
