Search for: "Financial Industry Regulatory Authority"
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28 Apr 2021, 2:18 pm
What your company chooses matters to your future, financially and legally. [read post]
21 Dec 2015, 9:00 pm
Indeed, the legal authority for the Paris Agreement traces to its earlier predecessor, the Framework Convention on Climate Change, agreed to by George H.W. [read post]
18 Dec 2019, 10:03 am
Depending on the computer system used, DOJ claims Omnicare also sometimes assigned a fake number of authorized refills to a prescription – usually 99 allowable refills for Medicare patients – to allow for continuous refilling. [read post]
14 Jan 2021, 2:32 pm
The latest company to be caught in the crossfire of regulatory authorities fighting to understand and regulate new technologies is Ripple. [read post]
4 Mar 2010, 3:17 pm
The following is a summary review of articles from all over the nation concerning environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
8 Nov 2021, 9:40 am
The BSA enlists these sectors and other financial institutions to root out marketplace abuse by undertaking customer due diligence and spotting questionable financial transactions. [read post]
28 Nov 2019, 9:05 pm
A policy analysis by Gregg Gelzinis of the Center for American Progress and Graham Steele of the Stanford Graduate School of Business outlined the threat climate change poses to the financial industry. [read post]
30 Nov 2017, 9:30 pm
” Richard Glick was sworn in as a commissioner of the Federal Energy Regulatory Commission (FERC), following the U.S. [read post]
11 Mar 2015, 2:06 pm
This type of business is known as an outside business activity and is heavily regulated by both the SEC and the Financial Industry Regulatory Authority, Inc. [read post]
9 Apr 2020, 4:38 pm
However the NYBCL does not expressly authorize virtual-only meetings. [read post]
31 Jan 2019, 2:03 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
20 Nov 2023, 5:55 am
Though it is over four decades old, the committee has undergone several rounds of legislative reforms increasing its scope and authority. [read post]
17 Oct 2018, 4:19 pm
In addition to HIPAA’s Security Rules for ePHI, HIPAA Entities typically also are subject to a hodgepodge of non-HIPAA statutory, regulatory and/or contractual obligations to safeguard patient, employee, business partners and other individual, financial, health, tax, peer review and credentialing, trade secrets and other confidential information against improper use, access, destruction or disclosure. [read post]
31 Dec 1969, 4:00 pm
The coal industry wants to pretend that climate change isn’t real. [read post]
30 Apr 2024, 2:51 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
17 Dec 2023, 9:03 pm
The investing public benefits when all industry participants compete on a level playing field. [read post]
7 Jun 2019, 7:30 am
Should you wish to discuss requirements and/or implications of Reg BI, Form CRS Relationship Summary or newly issued statutory interpretations, please contact any of the authors or any of McGuireWoods’ securities enforcement and regulatory attorneys. [read post]
7 Jun 2019, 7:30 am
Should you wish to discuss requirements and/or implications of Reg BI, Form CRS Relationship Summary or newly issued statutory interpretations, please contact any of the authors or any of McGuireWoods’ securities enforcement and regulatory attorneys. [read post]
8 Jun 2020, 5:46 am
Aubrey Morrow Recommended High-Risk Investments Misaligned with Their Stated Goals The Financial Industry Regulatory Authority, Inc. [read post]
8 Jun 2020, 5:46 am
Aubrey Morrow Recommended High-Risk Investments Misaligned with Their Stated Goals The Financial Industry Regulatory Authority, Inc. [read post]
