Search for: "Financial Industry Regulatory Authority"
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9 Apr 2017, 12:35 pm
FINRA Broker Disciplinary Action Report March 2017Each month, 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 Jun 2017, 2:34 pm
-based campaign group ClientEarth, through pressure on the Financial Reporting Council, the U.K. corporate governance and reporting authority, has compelled oil and gas firms SOCO International and Cairn Energy to increase their climate reporting and update their climate-related disclosure practices. [read post]
3 Dec 2010, 2:54 pm
Regulators are not authorized to impose capital and margin requirements on end users. [read post]
21 Feb 2024, 5:10 pm
The Florida Office of Insurance Regulation offers further guidance on the regulatory framework and standards governing the insurance industry in Florida. [read post]
13 Jan 2022, 9:15 am
Financial Institutions Financial institutions, banks, and other lenders who finance virtual currencies and other digital assets will find it easier to arrange secured lending transactions under Chapter 12 (and conforming changes under UCC Chapter 9). [read post]
18 May 2023, 6:09 am
Here is the author’s article. ************************ As professionals in executive risk, many of us follow industry developments, such as market and claim trends. [read post]
29 May 2009, 2:28 pm
Increased use of on-line transactions involving financial, health, and commerce require a basis for building trust between the parties to a transaction. [read post]
13 May 2014, 1:12 pm
Suppliers may request the right to use de-identified, aggregated data for various purposes such as making improvements to their services generally and for research and publishing on industry trends. [read post]
27 Oct 2011, 2:42 pm
Plaintiffs have not cited to a single statutory or regulatory authority that imposes any additional responsibilities upon a generic manufacturer who is subsequently and unilaterally designated an RLD by FDA. . . . [read post]
27 Oct 2010, 8:46 am
Gerald Brock, author of The Telecommunic [read post]
26 Oct 2023, 12:29 pm
Of course the companies will "balk at regulation," as the op-ed's author reports. [read post]
18 Jun 2012, 7:19 am
Ameriprise Financial Servs., Inc., No. 07 Civ. 2655, 2008 U.S. [read post]
10 Mar 2023, 10:00 am
She also has decades of regulatory and other government affairs experience with these concerns including defending these and other businesses before the IRS, EBSA, WHD, EEOC, OCR, HHS, state labor, insurance, and other authorities, and evaluating and responding to federal, state and local statutory, regulatory and enforcement actions by federal and state legislators and regulators. [read post]
17 Feb 2010, 1:10 pm
Recognizing the ongoing financial challenges facing the nuclear industry, the Waxman-Markey legislation included a Clean Energy Bank to help provide financing support for new reactors, as well as other non-carbon energy sources such as wind, solar, and efficiency. [read post]
26 Dec 2019, 5:00 am
Among its other provisions, the ILLICIT CASH Act would require law enforcement to coordinate with financial regulatory agencies and provide updates to financial institutions on suspicious activity reports filed by those institutions. [read post]
21 Mar 2018, 4:38 am
Chamber of Commerce, the Securities Industry and Financial Markets Association (SIFMA), the American Council of Life Insurers, and other trade groups. [read post]
21 Mar 2018, 4:38 am
Chamber of Commerce, the Securities Industry and Financial Markets Association (SIFMA), the American Council of Life Insurers, and other trade groups. [read post]
29 May 2024, 12:39 pm
Additionally, the installation should comply with all manufacturer warranties, applicable laws, and standard industry practices. [read post]
25 Jun 2012, 7:08 am
In this case, the Court looked to job duties and responsibilities of the particular detailers and took into consideration industry practice and regulatory compliance. [read post]
14 Jan 2022, 9:07 am
MiFID standardized banking practices and restored confidence in the financial industry. [read post]
