Search for: "The Regulatory Review"
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22 Jul 2015, 6:28 am
FINRA found that Bray’s supervision of Maberry’s sales activity consisted of a daily review of a trade blotter reflecting trades made by Maberry to customers together with conversations with Maberry regarding trading activity. [read post]
12 Nov 2021, 3:30 am
The ongoing regulatory push and pull over digital tokens just took another strange turn. [read post]
10 Nov 2013, 10:03 pm
The biggest changes OMB’s Office of Information and Regulatory Affairs (OIRA) made were with regard to the proposed rule for Foreign Supplier Verification Programs (FSVP) for Importers of Food for Humans and Animals. [read post]
22 Jan 2014, 5:53 am
During the first review period FINRA examined, the agency found that Rives disseminated two newspaper advertisements, five brochures, one pastor letter, one mailed advertisement, and two offering documents that contained improper content. [read post]
28 Oct 2024, 1:24 am
On 22 October 2024, the Supreme Court of Appeal (SCA) upheld an appeal by a non-governmental organisation (NGO) which challenged the regulatory approval of genetically modified maize. [read post]
Report by MLCL Principal Hugh Berkson Draws Federal Scrutiny to Problem of Unpaid Arbitration Awards
31 Mar 2016, 9:56 am
FINRA essentially refused to provide the information so PIABA reviewed every award issued in 2013. [read post]
21 Feb 2011, 4:40 pm
The Workers Compensation Commissions proposal requires that emergency rules be converted into permanent rules, subjecting Maryland to an “unwarranted” federal regulatory procedure, according to the AIA. [read post]
15 Feb 2008, 11:09 pm
Member firms should review their templates for fairness opinions and the procedures by which fairness opinions are rendered to ensure compliance with the new rule. [read post]
11 Feb 2008, 11:56 am
DOL will provide a more limited review of the applications, while retaining the right to investigate potential fraud and abuse. [read post]
31 Jan 2014, 6:35 am
FINRA alleged that Hogue did not initially disclose this outside business activity to Cambridge but that Cambridge discovered Hogue’s involvement with SFL through a routine review of Hogue’s emails. [read post]
24 Feb 2016, 2:18 pm
A review of Mr. [read post]
6 Jul 2018, 11:47 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Mark Solomon (Solomon), formerly associated with M Holdings Securities, Inc. [read post]
9 Jul 2018, 2:06 pm
In order to sell stocks to individual investors, securities brokers must register with the Financial Industry Regulatory Authority (FINRA). [read post]
23 Feb 2021, 3:30 am
Should NJ employers find a smartypants employment lawyer like Eric to review and revise their drug and alcohol policies? [read post]
10 May 2024, 2:06 pm
All affected parties have been reimbursed following SoFi’s review of “thousands of high-risk accounts. [read post]
21 Oct 2022, 3:18 am
On 20 October 2022, the European Banking Authority (EBA) published a new set of guidelines and two final draft Regulatory Technical Standards (RTS) specifying technical aspects of the revised framework capturing interest rate risks for banking book (IRRBB) positions. [read post]
20 Oct 2022, 6:51 am
On 20 October 2022, the European Banking Authority (EBA) published a new set of guidelines and two final draft Regulatory Technical Standards (RTS) specifying technical aspects of the revised framework capturing interest rate risks for banking book (IRRBB) positions. [read post]
11 Apr 2010, 9:08 am
Dodd's financial regulatory reform bill, Dan's "Saving Angel Investing" amendment would better safeguard the long-term integrity of the securities registration exemption under Rule 506 of Regulation D.That's important, because Rule 506 of Reg D is what makes financing for startups so safe and efficient, and the only way to keep legal compliance costs proportionate to the amounts raised in seed rounds.At the same time, state securities regulators are advocating for… [read post]
23 Sep 2013, 12:21 pm
The Financial Industry Regulatory Authority (FINRA), VSR Financial Services, Inc. [read post]
9 Dec 2014, 6:18 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm LaSalle St. [read post]
