Search for: "Financial Industry Regulatory Authority"
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17 Aug 2022, 5:50 pm
The Nuix platform supports a range of use cases, including criminal investigations, financial crime, litigation support, employee and insider investigations, legal eDiscovery, data protection and privacy, and data governance and regulatory compliance. [read post]
1 Mar 2024, 12:04 pm
In April 2023, the Consumer Financial Protection Bureau, DOJ’s Civil Rights Division, the EEOC, and the FTC issued a “Joint Statement on Enforcement Efforts against Discrimination and Bias in Automated Systems. [read post]
14 Nov 2017, 8:33 am
The weekly events highlight the benefits of Apprenticeship in preparing a highly-skilled workforce to meet the talent needs of employers across diverse industries. [read post]
27 Jun 2022, 5:36 am
Third, they complained that the financial costs of compliance, namely purchasing, installing, and operating GPS-tracking devices, was an excessive and unwarranted burden upon the charter boat industry. [read post]
26 Sep 2022, 9:08 am
Proc. 2019-48 allows certain taxpayers to use a special transportation industry rate or to use rates under a high-low substantiation method for certain high-cost localities. [read post]
7 Jul 2021, 7:00 am
The areas of interest are quite varied and impact numerous industries. [read post]
19 Feb 2015, 1:30 pm
[iii] SWIFT is a global financial messaging service. [read post]
17 Jul 2012, 3:55 pm
From its inception, advocates of federalism focused on the danger of using national law to insulate national banks from state law, because financial elites would have an advantage in controlling the federal regulatory process. [read post]
10 Jul 2023, 3:56 pm
Sultan walks us through the wreckage of the American cryptocurrency industry, pausing to note the executive exodus from Binance and the end of the view that cryptocurrency could be squared with U.S. regulatory authorities. [read post]
28 Aug 2018, 9:12 am
Two years later, Oppenheimer was charged by the Financial Industry Regulatory Authority (FINRA), the regulator of broker dealers, with dealing unfairly with customers purchasing municipal bonds. [read post]
19 Mar 2020, 7:04 pm
In addition, it is apparent that the Coronavirus will result in material changes in the legal and regulatory landscape in the U.S. and internationally. [read post]
21 Apr 2021, 8:39 am
Att’y Gen. 20-0111 (11/24/20) (discussing the Louisiana Office of State Lands’ authority to demand removal of pipelines). [read post]
8 Apr 2009, 6:53 am
Reicher, Associate Vice President and Associate General Counsel specializing in litigation for Financial Industry Regulatory Authority, Inc. [read post]
15 Apr 2024, 6:43 am
This includes working closely with the Bank of England, the Financial Conduct Authority and the Prudential Regulation Authority. [read post]
2 Jul 2010, 2:18 pm
(In the Vaqueria Tres Monjitas case, Puerto Rican milk producers were, in the last analysis, being required by the regulatory agency to subsidize a competing dairy processor at the expense of their own business integrity. [read post]
31 Mar 2012, 8:17 pm
The following information regarding broker misconduct and disciplinary actions taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) for the period January through March 2012: January 2012 Michael William Bozora and Timothy Roberts Redpath, formerly with Capital Solutions Distributors LLC, in Corte Madera, California, were fined $50,000 and suspended from association with any FINRA member in any capacity for… [read post]
3 Dec 2021, 3:34 pm
The Financial Industry Regulatory Authority (FINRA) is a quasi-governmental authority that works alongside the U.S. [read post]
17 Nov 2011, 7:37 am
Shortly after this judgment was entered, the Financial Industry Regulatory Authority (FINRA), an independent regulator of securities firms, ordered Vision Securities to cease all securities business because Vision Securities was net capital deficient. [read post]
17 Nov 2011, 7:37 am
Shortly after this judgment was entered, the Financial Industry Regulatory Authority (FINRA), an independent regulator of securities firms, ordered Vision Securities to cease all securities business because Vision Securities was net capital deficient. [read post]
21 Apr 2021, 8:39 am
Att’y Gen. 20-0111 (11/24/20) (discussing the Louisiana Office of State Lands’ authority to demand removal of pipelines). [read post]
