Search for: "Financial Industry Regulatory Authority" Results 9281 - 9300 of 11,239
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
Before its close, legislators introduced a series of energy-related bills aimed at shaping the state’s energy landscape and addressing various environmental, economic, and regulatory concerns. [read post]
17 Jul 2022, 9:05 pm by Guest Contributor
Furthermore, allowances were introduced for raw milk that provides exemptions from regulatory oversight. [read post]
26 Jan 2013, 5:46 pm by Larry Catá Backer
For many years, Rio de Janeiro was remembered by its public safety problems, made worse by the absence of dialogue between authorities and lack of planning. [read post]
27 Feb 2020, 9:35 am by Yosie Saint-Cyr
British Columbia MSP premiums and EHT implementation This year ushers in various changes that have a financial impact on employers and residents in British Columbia. [read post]
24 Nov 2020, 5:02 am by Alan Rosca
FINRA Rules on Unsuitability The Financial Industry Regulatory Authority (FINRA) has defined the standards for investment recommendations made by firms and advisors. [read post]
24 Nov 2020, 5:02 am by Alan Rosca
FINRA Rules on Unsuitability The Financial Industry Regulatory Authority (FINRA) has defined the standards for investment recommendations made by firms and advisors. [read post]
11 Jan 2007, 2:19 pm
About the Financial Advisory and Litigation Consulting Services Practice Aon Consulting’s Financial Advisory and Litigation Consulting Services practice provides a full line of consulting services including: white-collar and financial statement investigations; securities litigation; financial due diligence; damage calculations; financial valuation services; expert testimony; computer forensics; and other related specialties. [read post]
14 Dec 2018, 5:27 am by Joy Waltemath
In 2015, New York City adopted the Car Wash Accountability Law to address concerns regarding the lack of regulatory oversight of the car wash industry and its history of underpayment of wages, unsafe practices, and environmental issues. [read post]
10 May 2010, 1:16 pm by admin
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]
16 Nov 2017, 9:30 pm by Sarah Madigan
Noreika, who has strong banking industry ties. [read post]
30 Jul 2009, 12:48 pm
The most important practical lesson of the financial crisis is, then, this: whatever form general corporate governance reform takes, careful thought should be given to exempting - or at least allowing relevant financial regulatory authorities to exempt or override - financial firms from those reforms. [read post]
6 Jan 2015, 4:31 pm by INFORRM
  The Guardian, the Independent and the Financial Times groups are outside any regulatory structure. [read post]
1 Apr 2020, 2:31 am by Florence Campbell Jones
Introduction COVID-19, and the unprecedented shutdown of a large number of sectors and industries, is having a significant impact on businesses, international supply chains and the UK and global economy. [read post]
19 Oct 2007, 11:06 am
"  ENTA acts as industry voice for nanotechnology in Europe. [read post]
26 Oct 2017, 9:37 am by Scott M. Pearson
The Acting Comptroller described the OCC’s proposal to use its authority to charter nondepository fintech companies as “a work in progress,” and noted the challenges to such authority by the Conference of State Bank Supervisors and the New York Department of Financial Services and the OCC’s defense of its authority even though it has not yet decided whether it will exercise that specific authority. [read post]
4 Aug 2016, 8:32 am by Green, Schafle & Gibbs
FINRA Broker Disciplinary Action Report July 2016Each month and again on a quarterly basis, 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]
11 Jul 2010, 8:33 pm by Steven M. Taber
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]
4 Aug 2014, 10:52 am by Jim Butler
These include the developer’s track record of success with similar prior projects, the developer’s financial stability and reputation, and the project’s financial viability. [read post]