Search for: "Financial Industry Regulatory Authority"
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6 Nov 2017, 12:20 am
Anna Marhold (Tilburg University) reported on dispute resolution mechanisms and the role of the industry in European regulatory agencies for energy. [read post]
1 Oct 2018, 1:17 pm
Uber could have reported the issue up the line and let those with real authority decide how to handle it. [read post]
2 Aug 2012, 6:08 pm
Relief granted for distribution to “permitted clients” in Québec Significantly, the Blanket Order issued by the Autorité des marchés financiers (AMF), the securities regulatory authority in Québec, exempts issuers from application of the Instrument where promotional activities are limited to investors that qualify as a “permitted client” (as defined in National Instrument 31-103 Registration Requirements, Exemptions and… [read post]
15 Oct 2007, 9:46 am
On September 27, 2007, the Financial Industry Regulatory Authority (FINRA) found that Morgan Stanley failed to produce pre-9/11 emails to claimants in a large number of arbitration proceedings spanning from October 2001 through March 2005. [read post]
26 Oct 2012, 3:13 pm
This is due to the fact that in 1977, Congress refused to grant the FTC, the original overseer of debt collectors, regulatory authority under the Act. [read post]
2 Aug 2012, 6:08 pm
Relief granted for distribution to “permitted clients” in Québec Significantly, the Blanket Order issued by the Autorité des marchés financiers (AMF), the securities regulatory authority in Québec, exempts issuers from the application of the Instrument where promotional activities are limited to investors that qualify as a “permitted client” (as defined in National Instrument 31-103 Registration Requirements, Exemptions… [read post]
5 Dec 2011, 12:53 pm
The alert was jointly issued by the Financial Industry Regulatory Authority, or FINRA, and the Securities and Exchange Commissionandrsquo;s Office of Compliance Inspections and Examinations, or OCIE. [read post]
3 Jan 2012, 2:35 am
In the case of a managing agent, investors will need to obtain consent from both the Financial Services Authority (FSA) and from the Council of Lloyd’s. [read post]
12 Jul 2015, 10:44 am
But this example and many others merely show that the IARC and the regulatory world are robust for group think. [read post]
16 Jul 2014, 9:30 pm
The possible regulatory ramifications have drawn opposition from various groups in Europe. [read post]
12 Apr 2012, 12:24 am
I mostly agree with that, although the U.S. government does work furiously on behalf of sectors like financial services and entertainment, sometimes I think to the detriment of other industries. [read post]
12 Dec 2008, 8:00 am
(Techdirt) Friendster granted social networking patent (Saunders & Silverstein) Partial win for both Cordance and Amazon in ‘one click’ Markman order (Law360) Leon Stambler launches patent suit against numerous major banks over their secure online banking services; Federal judge approves dismissal of UBS Financial Services (Law360) (Law360) Federal judge denies Girafa’s motion for preliminary injunction in lawsuit accusing Yahoo, Amazon and others of… [read post]
9 Jan 2012, 8:15 am
The purpose of the rule would be to provide more consistency and certainty in the context of defensive tactics and decrease the need for regulatory intervention. [read post]
4 Dec 2023, 7:49 am
Khan’s first FTC statement of regulatory priorities, issued in December 2021, called for possible consumer-protection rules that would, among other things: authorize penalties for “data abuses”; and authorize penalties for “abuses . . . from surveillance-based business models. [read post]
29 Apr 2019, 7:21 am
Q: Do I have to sign a new authorization card? [read post]
2 Jan 2024, 12:56 pm
But while the aggressive regulatory action may have helped the banking industry to dodge a contagion event, it did not necessarily remedy the underlying concerns for many banks. [read post]
12 Sep 2022, 5:00 am
This observation does not exclude the possibility that specific uses of consumer data may constitute a potential market failure that merits regulatory scrutiny and possible intervention (assuming there is sufficient legal authority for the relevant agency to undertake any such intervention). [read post]
15 Oct 2023, 3:26 pm
You’ve advocated for policyholders in front of various legislatures and regulatory bodies. [read post]
3 Dec 2020, 3:40 am
Member States would be required to nominate a “competent authority” with the power to monitor compliance with the Act’s requirements, to impose financial penalties, and to “require cessation or postponement” of the provision of the service. [read post]
19 Feb 2023, 9:01 pm
First, the defendants argued that the major questions doctrine precluded the SEC from using the term “investment contract,” the scope of which has traditionally been more limited, to expand its regulatory authority to a substantial and new industry. [read post]
