Search for: "Financial Industry Regulatory Authority"
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9 May 2022, 2:00 am
They agreed, however, arbitrators would resolve the dispute because his employment fell within the ambit of the Financial Industry Regulatory Authority (FINRA). [read post]
8 Jun 2010, 5:37 am
This bill, which was authored by Sen. [read post]
5 Jan 2011, 1:24 pm
BFPP gave full cooperation, assistance, and access to persons authorized to conduct a response action or natural resource restoration. [read post]
5 Jan 2011, 1:24 pm
BFPP gave full cooperation, assistance, and access to persons authorized to conduct a response action or natural resource restoration. [read post]
17 Oct 2018, 9:51 am
Other difficulties concern the divergence and enforcement of regulatory standards, trade remedies and dispute settlement. [read post]
6 Sep 2012, 1:53 am
The regulatory fines and penalties will not be insured. [read post]
3 Mar 2023, 5:16 am
However, existing authorities will set these minimum requirements where possible. [read post]
31 Jan 2019, 8:14 am
Congress concluded that this structure would enable the new agency to best do its job of protecting Americans from harmful practices of the financial services industry and preventing another financial crisis like the one that shook the nation in 2008. [read post]
16 Sep 2009, 7:00 am
The program is also expected to be the stick that complements carrots offered under financial stimulus programs directed at the auto sector. [read post]
22 Dec 2023, 8:13 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
5 Aug 2014, 6:28 am
The first is an illustrated guide that lays out visually her counsel and the second is that she also includes interviews from a Roundtable of compliance industry participants. [read post]
26 Jun 2013, 7:32 pm
It is argued that the securities regulatory framework in China is capitalist in nature, not Chinese or socialist, and if it is Chinese, it is the lack of comprehensive and transparent regulation and, hence, accountability. [read post]
28 Jul 2010, 4:20 pm
About the Author Board Certified in Labor & Employment Law by the Texas Board of Legal Specialization, management attorney and consultant Ms. [read post]
16 Sep 2022, 4:30 am
The Financial Industry Regulatory Authority, or FINRA, permanently barred Nicholas from acting as a broker on 1/24/2022. [read post]
3 Jan 2013, 12:28 am
The FDIC increased the number of authorized lawsuits each month during 2012, so the authorized number of suits could quickly reach as high as the implied 112 number of suits. [read post]
24 May 2016, 9:31 am
FINRA Broker Disciplinary Action Report May 2016Each month and again on a quarterly basis, 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]
14 Mar 2012, 2:43 pm
Senator Arlen Specter “Alarmingly, the new target of foreign espionage is our industrial base. [read post]
24 Jul 2010, 2:51 pm
Even on the negatives, the article runs short, failing to address the most significant aspect of the market- the lack of regulatory oversight and lack of licensing requirement. [read post]
14 Sep 2020, 5:24 pm
Securities and Exchange Commission and was sworn in on January 11, 2018, sought to take on the current movements to shift the fundamental regulatory narrative of corporations from an institutional/shareholder wealth maximizing model to a stakeholder/societal welfare maximizing one. [read post]
11 Apr 2024, 4:57 am
The upshot of this and other examples is that self-reporting and voluntarily remediating issues will matter for the ultimate penalty imposed (if any at all) and may limit the SEC’s imposition of non-financial remedies. [read post]
