Search for: "Financial Industry Regulatory Authority"
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5 Apr 2009, 1:26 pm
These adverse developments have generated a wave of private securities litigation, as well as regulatory inquiries by federal and state authorities. [read post]
28 Jun 2010, 3:46 pm
It authorizes $2 billion to go towards direct loans, loan guarantees, letters of credit, and other financial product for the deployment of energy efficiency measures. [read post]
10 Oct 2023, 10:51 am
This can lead to more financial security and additional opportunities, like reallocation of those funds to other necessary endeavors. [read post]
8 Apr 2021, 8:00 am
Yet data brokerage—in broad terms, companies buying and selling data on consumers—remains heavily underdiscussed in these conversations on potential regulatory action. [read post]
11 Jun 2018, 6:38 am
Most penalized industries. [read post]
11 Oct 2019, 4:54 pm
The UK Competition and Markets Authority is also carrying out a market study into online platforms and the digital advertising industry. [read post]
18 Mar 2022, 5:10 am
Contact information for the covered entity, or, where applicable, the covered entity’s authorized service provider. [read post]
2 May 2007, 8:08 am
On the other hand, more preemption of state banking authority by a federal regulator will not favor state banking authorities over the long term. [read post]
27 Jul 2020, 6:05 am
Of the 19 respondents from corporations, seven are in life sciences, three are in insurance, three are in telecommunications, two are in financial services, two are in manufacturing, and two are in technology. 89% work for companies with revenues that exceed $10 billion and have over 10,000 employees. [read post]
11 Apr 2021, 10:30 pm
It found that in the financial services industry, 40% of organisations believed that almost all their staff (90%) could work remotely. 88% in the industry were revisiting their office space needs, with 57% seeking to reduce this space. [read post]
1 Jul 2021, 5:50 am
” “Not only does the seventh E-Discovery Unfiltered report highlight an array of industry developments and perspectives on the companies that are driving change, but this year, it provides a number of key impressions on how this sector is likely to evolve in a post-pandemic litigation environment,” said Ari Kaplan, principal of Ari Kaplan Advisors and the author of the E-Discovery Unfiltered report. [read post]
2 Mar 2020, 11:04 am
In addition to the changes proposed in the 2/06/20 Proposed Rule, in response to President Trump’s July 24, 2020 Executive Order on Improving Price and Quality Transparency in American Healthcare to Put Patients First, HHS on November 14, 2019 also undertook two other regulatory actions intended to increase price transparency to empower patients and increase competition among all hospitals, group health plans and health insurance issuers in the individual and group… [read post]
23 Apr 2020, 5:25 pm
Potential and likely ramifications of the Commission’s actions, arguments opponents of the April 16 Orders are likely to raise and potential paths forward for industry market participants are set forth below. [read post]
10 Oct 2011, 8:08 am
It was interesting reading these two blog posts, since both authors are wicked smart, experts in their respective fields, and very opinionated (not that there’s anything wrong with that). [read post]
15 Feb 2011, 8:32 am
That alternative would be similar to the regulatory oversight model currently used for SEC registered brokers and dealers under which the Financial Industry Regulatory Authority (FINRA) under the SEC’s supervision regulates brokers and dealers. [read post]
15 Oct 2012, 11:45 am
The proposals and final rules the Commission has issued to date reflect that the CFTC has chosen to exercise this authority to abandon its principles-based regulatory approach in favor of a prescriptive one-size-fits-all regime, which in my view is a mistake. [read post]
19 May 2011, 5:58 am
The proposal does not specifically mention types of infrastructure to be covered, such as energy or electric facilities, nor does it specifically authorize a role for the Federal Energy Regulatory Commission (“FERC”) or the Department of Energy. [read post]
16 Jun 2010, 12:06 pm
Industrial Co. v. [read post]
2 Jun 2009, 6:31 pm
I have lost confidence in the entire financial sector. [read post]
1 Dec 2023, 1:16 am
ArciTerra Strategic Retail, LLC ArciTerra Whitefish Opportunity Fund, LLC Suitability – Arciterra REITs FINRA (Financial Industry Regulatory Authority) has rules in place to ensure that broker-dealers and their associated representatives act in the best interests of their customers when recommending investments. [read post]
