Search for: "Financial Industry Regulatory Authority"
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12 Mar 2021, 9:57 am
In deciding whether to report wrongdoing, whistleblowers typically undertake a risk-reward calculus that involves balancing the considerable personal and professional risks posed by being a known whistleblower in their industry against the prospect and amount of a financial reward. [read post]
4 Mar 2015, 5:34 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
1 Aug 2023, 11:55 pm
Municipal Bonds Gone Bad In 2015 The Financial Industry Regulatory Authority (FINRA) announced that it has censured and fined UBS Financial Services Incorporated of Puerto Rico (UBS PR) $7.5 million for supervisory failures related to the suitability of transactions in Puerto Rican closed-end fund (CEF) shares. [read post]
28 Dec 2010, 10:41 am
In March 2010, the Financial Industry Regulatory Authority (FINRA) formally expelled Provident Asset Management LLC, the broker-dealer arm of Provident. [read post]
31 Dec 2019, 8:13 am
Financial Reports. [read post]
7 Feb 2023, 7:00 am
The Financial Industry Regulatory Authority (FINRA) works with the SEC to regulate the securities industry, and it provides an arbitration forum for investors to pursue claims against their investment firms and advisors. [read post]
5 Jun 2023, 6:30 am
She cites as one example the city of Detroit's creation of a regional water authority during its bankruptcy which is credited with smoothing over relations between Detroit and its suburbs and for its ability to generate more revenue — “as a bond sale from the authority would likely fetch higher rates than a bond sale from the city by itself. [read post]
22 Dec 2023, 11:43 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
17 Nov 2021, 2:44 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
5 Mar 2023, 3:50 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
17 Nov 2016, 9:12 am
In addition, network operators are obliged to provide technical support and assistance to public security authorities and national security authorities for security and crime investigation. [read post]
27 Oct 2017, 6:00 am
Originally, the law focused on protecting critical factors of production (like the steel industry) and the possibility that the production of war materials might come under foreign control. [read post]
4 Aug 2011, 12:38 pm
Do we need more industrial economists in addition to the (relatively few) financial economists on the Commission staff? [read post]
31 Jul 2024, 10:02 am
It began in 2010 following the financial crisis when Congress passed the Dodd-Frank Act, which gave the SEC the authority to empanel ALJs and pursue civil fraud penalties in-house rather than go to federal court where the defendant could seek a jury trial. [read post]
9 Aug 2021, 9:05 pm
Food safety education, agency updates, meet and greets for Eskin on May 20 held separate telephone conferences with industry and consumer representatives. [read post]
19 Aug 2021, 3:32 am
All the authors of the instruction are judges, and the MD JA is located in the Minnesota judicial center. [read post]
22 Nov 2021, 3:49 pm
MR5 governs all private sector ESOs accessible in Indonesia, such as social media services, content-sharing platforms, digital marketplaces, search engines, financial and data processing services, communications services providing messaging, cloud service providers, video calling, and online games. [read post]
14 May 2010, 9:12 am
As readers of this blog know, Senator Dodd's financial regulatory reform bill (in recent days, identified colloquially as the Wall Street Reform Bill), currently being debated on the floor of the Senate, contains two provisions that would be devastating to startup seed financing and angel investing in our country. [read post]
1 Apr 2016, 11:08 am
On Tuesday, in our nation’s capital, the Securities and Exchange Commission (SEC) did its best interstate speed trap impression when it announced that it would delay the adoption of the pay-to-play regulatory proposal submitted by the Financial Industry Regulatory Authority (FINRA) in late December of 2015 so as to allow further comment on the potential impact of the provisions. [read post]
16 May 2022, 6:27 pm
” Just as that slogan has been repeatedly rebutted in the financial markets, so too is it likely to be rebutted in platform markets. [read post]
