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12 Dec 2010, 6:12 pm
First, critics might argue that the Act is constitutionally suspect to the extent it creates crimes but allows the precise contours of the criminal conduct to be defined by unelected regulatory authorities. [read post]
9 Dec 2010, 11:31 am
We are very interested in devising a process that will be effective and meet the goals of the legislation, but do so in an efficient manner that recognizes the operational considerations of the financial services industry. [read post]
8 Dec 2010, 4:57 am
Compiled from online public domain resources, provided for your review/use is this week's update of key industry news, views, and events highlighting key electronic discovery related stories, developments, and announcements. [read post]
7 Dec 2010, 11:13 pm
Given that risks of data breaches also exist in other sectors (e.g. the financial sector), the Commission will examine the modalities for extending the obligation to notify personal data breaches to other sectors in line with the Commission declaration on data breach notification made before the European Parliament in 2009 in the context of the reform of the Regulatory Framework for Electronic Communications. [read post]
7 Dec 2010, 5:00 am
Industries and companies are saying “not me” and saying that others should be included. [read post]
6 Dec 2010, 8:51 am
The proposed rules also include expanded disclosure regarding advisers and their business practices that may present significant conflicts of interest (such as the use of affiliated brokers, soft dollar arrangements, compensation for client referrals and financial industry affiliations), due to participation or interest in client transactions. [read post]
6 Dec 2010, 6:41 am
…Bauer and Hann conclude by citing a Superfund-sized regulatory driver of environmental risk: climate change legislation. [read post]
3 Dec 2010, 3:22 pm
Author: Joanna LiCalsi (Law Student, Investor Justice Clinic, University of San Francisco School of Law) In June 2009, the Financial Industry Regulatory Authority (FINRA) responded to the explosion in popularity of leveraged and inverse mutual funds and exchange traded funds (ETFs) and the detrimental losses they've caused to many confused investors, by issuing a Regulatory Notice to brokers and firms. [read post]
3 Dec 2010, 2:54 pm
Regulators are not authorized to impose capital and margin requirements on end users. [read post]
3 Dec 2010, 6:43 am
Earlier this year, a three-person Financial Industry Regulatory Authority panel ordered the firm to pay $20.6 million to the unsecured creditors of the Bayou Group. [read post]
3 Dec 2010, 5:33 am
For the third time in three years, Next Financial Group has been fined by the Financial Industry Regulatory Authority (FINRA). [read post]
3 Dec 2010, 5:13 am
Therefore, the Bureau is granted exclusive authority to issue regulations, orders, and guidance implementing federal consumer financial law[10]. [read post]
1 Dec 2010, 5:15 am
Former Morgan Stanley broker Joey Wade Dean is facing regulatory action from the Financial Industry Regulatory Authority (FINRA) in connection to sales of unlisted structured notes. [read post]
29 Nov 2010, 11:47 am
According to the Financial Industry Regulatory Authority (FINRA), complaints about private placements have increased 35% in this year alone and more than 50% in 2009. [read post]
29 Nov 2010, 8:05 am
In the diplomatic negotiating event, the “experts and enthusiasts” of the northern environmental lobby departed, predictably, from anything the rich country publics, in the midst of financial crisis on top of everything else, might have been expected to support. [read post]
28 Nov 2010, 12:49 am
Raifman is before the court on the plaintiffs motion for a preliminary injunction to prevent the defendants from compelling it to arbitrate with the Financial Industry Regulatory Authority (FINRA). [read post]
24 Nov 2010, 5:07 pm
EU Commissioner for the Internal Market Michel Barnier had assured US officials that the EU would work towards non-discriminatory hedge fund and private equity fund regulatory legislation. [read post]
24 Nov 2010, 12:01 am
We have reported previously on the proposed overhaul of the European Financial Regulatory System (click here to see our previous post). [read post]
22 Nov 2010, 10:05 am
Now, the Financial Industry Regulatory Authority (FINRA) has proposed that broker-dealer member firms of FINRA disclose, in writing to their non-institutional customers, conflicts of interest prior to providing services to such customers. [read post]
22 Nov 2010, 9:42 am
In this post, I want to explain what ACOs are, and why they challenge traditional health care regulatory models.What's an ACO? [read post]
