Search for: "Financial Industry Regulatory Authority"
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26 Apr 2017, 6:14 pm
About The Author Recognized by LexisNexis® Martindale-Hubbell® as a “AV-Preeminent” (Top 1%/ the highest) and “Top Rated Lawyer,” with special recognition as “LEGAL LEADER™ Texas Top Rated Lawyer” in Health Care Law and Labor and Employment Law; as among the “Best Lawyers In Dallas” for her work in the fields of “Health Care,” “Labor & Employment,” “Tax: Erisa & Employee Benefits” and… [read post]
21 Sep 2016, 8:29 pm
The Bureau shall have no authority under this section to declare an act or practice abusive in connection with the provision of a consumer financial product or service, unless the act or practice— ... [read post]
4 Jan 2008, 11:56 pm
The director-general of the DIFC Authority, Dr. [read post]
28 Mar 2024, 2:56 pm
For the last 50 years, EPA has buckled to pressure from the chemical industry, and basically done nothing to protect millions of Americans from breathing a life-threatening, cancer-causing chemical known as “ethylene oxide” (ETO). [read post]
24 Jan 2018, 7:56 am
In addition to her public and regulatory policy involvement, Ms. [read post]
4 Jan 2022, 4:00 am
Others crave recognition and attention, regardless of cost or lack of financial reward. [read post]
4 Nov 2020, 9:21 am
Ma, Ant’s chief executive Simon Hu and executive chairman Jack Ying were summoned to an unusual meeting with senior representatives of four Chinese regulatory bodies on Monday. [read post]
21 May 2024, 9:01 pm
A legal challenge to the Final Rule has already been filed by an insurance industry trade group in the U.S. [read post]
27 Oct 2017, 2:16 am
The second ICO was marketed similarly but with respect to the diamond industry. [read post]
11 Mar 2007, 1:49 pm
If there is some sort of harm to affected individuals, especially if there is a public outcry or media attention, judges, juries and even regulatory authorities may be inclined to try to find reasons to give the victims some kind of recourse. [read post]
21 May 2010, 6:15 am
The Financial Industry Regulatory Authority is the largest "non-governmental regulator" for securities firms in the United States. [read post]
25 Apr 2017, 3:21 pm
Beyond mitigating a plan sponsor’s Form 8928 reporting and associated excise tax exposures, an independent compliance audit also can mitigate other risks and exposures for the sponsoring employer, the plan and its fiduciaries, the cost of which the sponsoring employer often bears financial responsibility for funding pursuant to the contractual indemnification and funding obligations entered into in connection with the establishment and maintenance of the plan, the fiduciary… [read post]
11 Oct 2021, 7:59 pm
According to the DOJ announcement, DOJ expects the initiative to: Build broad resiliency against cyber security intrusions across the government, the public sector and key industry partners. [read post]
27 Jun 2018, 6:34 pm
Gaming Police R37 – create Designated Policing Unit to specialize in criminal and regulatory investigations in legal gaming industry, with an emphasis on Lower Mainland casinos. [read post]
16 Mar 2018, 9:15 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
12 Feb 2021, 10:37 am
As at the time of instituting the various customer disputes, Jeffrey M Cohen was in the employment of a Financial Industry Regulatory Authority (FINRA) member firm Moloney Securities Co. and he is still a member of the firm as at the time of this investigation. [read post]
8 Feb 2022, 4:50 pm
FINRA Award: UBS to pay Investors $1.9 Million This week a Financial Industry Regulatory Authority (FINRA) arbitration panel has again ruled in favor of investors who claim they were improperly placed in the in-house options trading strategy sponsored by UBS. [read post]
28 Nov 2023, 7:44 am
The Financial Industry Regulatory Authority (FINRA) reportedly also sanctioned two Laidlaw & Company brokers in January 2023, with the payment of more than $150,000 in restitution and fines after they were found to have violated the Reg BI rule. [read post]
24 Jun 2009, 4:33 pm
And, while that law will provide consumers with stronger protections and better information on consumer financial products, it creates a centralized entity that will prevent businesses from forum-shopping for the most favorable regulatory treatmentFor financial service businesses, the message is pretty clear. [read post]
26 Apr 2022, 12:23 pm
Repple & Company involving GWG L Bonds The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
