Search for: "Financial Industry Regulatory Authority"
Results 9501 - 9520
of 11,239
Sorted by Relevance
|
Sort by Date
12 Feb 2013, 9:30 pm
Network industries have been national monopolies for decades, so introducing competition in these sectors has been anything but easy. [read post]
17 Jan 2011, 7:14 am
The new industry may have problems, but the current legal services industry is far from perfect. [read post]
20 Oct 2019, 12:48 pm
By the same token, whistleblower revelations “have been central” to many of the regulatory enforcement actions brought against the financial services industry in the last decade, in the U.S. and elsewhere. [read post]
7 Jun 2011, 4:48 am
Sullivan to strike this authorization was adopted," Waxman and Rush wrote. [read post]
6 Oct 2011, 2:00 am
Congress enact legislation to require the creation of one or more SROs to oversee investment advisers, allocate the task to the Financial Industry Regulatory Authority (FINRA), or impose “user fees” on registered investment advisers to fund the SEC’s investment adviser examination program. [read post]
8 Apr 2021, 7:19 pm
The views expressed herein are solely the views of the authors and do not represent the views of Brown Rudnick LLP, those parties represented by the authors, or those parties represented by Brown Rudnick LLP. [read post]
16 Jul 2023, 9:53 am
The U.S. judiciary has, by extension, endorsed EVP Vestager's regulatory philosophy. [read post]
21 Mar 2012, 9:55 am
The author of this blog is Douglas C. [read post]
19 Nov 2012, 8:02 pm
The paper’s preliminary findings are that: (1) Indian manufacturers are adopting or exploring a growing number of available and emerging technical options for room and vehicle air conditioning; (2) market and regulatory forces in other regions of the world are moving away from HFCs; and (3) the Indian government and international institutions have opportunities to assist Indian industries to profitably manage the transition by resolving policy uncertainties and providing… [read post]
8 Apr 2015, 11:03 pm
In other countries, authorities point to international standards (e.g. [read post]
23 Apr 2021, 6:34 am
Any questions may be directed to the authors or another member of EBG’s Privacy, Cybersecurity, and Data Asset Management Group. [read post]
25 Jan 2024, 6:55 pm
" Agencies need not "limit their public advocacy to discouraging illegal conduct or addressing subjects within the scope of their regulatory authority," but may condemn practices that they have no statutory or constitutional authority to regulate. [read post]
7 Feb 2010, 6:37 pm
Supreme Court upheld that state regulators have permitting authority over the disputed tracts. [read post]
7 Feb 2010, 2:25 pm
Supreme Court upheld that state regulators have permitting authority over the disputed tracts. [read post]
4 May 2024, 4:33 am
Tax authorities would need to rely on accurate and timely information about economic activities taking place within their borders, which would necessitate the implementation of secure data exchange protocols and the protection of sensitive financial information from cyber threats. [read post]
21 Apr 2021, 4:39 pm
”[vi] Depending on the eventual scope of regulatory updates, the SEC’s new stance is likely to affect companies across numerous industries. [read post]
29 Mar 2023, 9:01 pm
Regulatory Harmonization: The onslaught of legislative and regulatory activity in the cyber space has led to a cry from industry to harmonize the legislation, reporting and examinations. [read post]
13 Jan 2020, 9:17 am
Ivy is the co-author of “Cataract Surgery for the Revenue Cycle” and a member of HFMA and ACHE. [read post]
13 Jan 2020, 9:17 am
Ivy is the co-author of “Cataract Surgery for the Revenue Cycle” and a member of HFMA and ACHE. [read post]
27 Aug 2018, 4:00 am
Clearly, this topic relates to an ever-diminishing part of the legal information and technology industries, as reducing numbers of providers are in the business of law, tax, accounting, financial and business regulatory book publishing, however valued and sought-after books remain and highly prioritised they are, by some publishers. [read post]
