Search for: "Financial Industry Regulatory Authority"
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1 May 2023, 9:13 am
” The joint statement outlines each respective agencies’ commitment to enforce their respective legal and regulatory authority to ensure responsible innovation in the AI space. [read post]
1 May 2023, 8:42 am
FINRA Indefinitely Suspends Broker Damian Baird for Alleged Misconduct According to public documents, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has suspended financial advisor Damian Baird (CRD #3097243) from the securities industry. [read post]
1 May 2023, 8:30 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
1 May 2023, 3:30 am
Competition & Markets Authority appeal of what is probably the most illogical decision not only the CMA but any competition authority of a civilized country ever made in a merger case. [read post]
29 Apr 2023, 12:35 am
It wouldn't have to be that way if the CMA had a modicum of regulatory humility. [read post]
27 Apr 2023, 9:05 pm
Foodborne illness can have a devastating impact, both personally and financially, on people’s lives, the cost of which reverberates through the economy. [read post]
27 Apr 2023, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
27 Apr 2023, 12:35 pm
Recently, the Financial Industry Regulatory Authority (“FINRA”) Department of Enforcement fined and suspended an ex-Merrill registered financial advisor, who had been in the industry for nearly 35 years, for breaching FINRA Rule 2010 and firm policy by violating his duty to maintain the confidentiality of a customer’s nonpublic information. [read post]
27 Apr 2023, 6:19 am
”By withholding a formal response to Coinbase’s rulemaking petition, the SEC has insulated its refusal from the ordinary avenues of judicial review—and deprived the industry of the path to registration that the SEC insists industry must follow, Coinbase said. [read post]
25 Apr 2023, 8:33 am
The unannounced inspection was the latest in a series of regulatory actions, as antitrust officials ratchet up scrutiny of the fashion industry over possible anticompetitive practices. [read post]
25 Apr 2023, 8:09 am
A prolific author and popular speaker, Ms. [read post]
25 Apr 2023, 8:00 am
Foodborne illness can have a devastating impact, both personally and financially, on people’s lives, the cost of which reverberates through the economy. [read post]
24 Apr 2023, 1:54 pm
I welcome guest post submissions from responsible authors on topics of interest to this site’s readers. [read post]
24 Apr 2023, 3:19 am
For example, in October 2022, the Bank of England and Financial Conduct Authority (“FCA”) jointly released a Discussion Paper on Artificial Intelligence and Machine Learning considering how AI in financial services should be regulated and, in March 2023, the ICO updated its Guidance on AI and Data Protection. [read post]
23 Apr 2023, 9:01 pm
In this context, I would note we have proposals with regard to securities lending,[6] short sale disclosures,[7] and large position reporting for securities-based swaps.[8] Further, the Financial Industry Regulatory Authority is working to enhance post-trade transparency in the fixed-income markets to facilitate greater competition.[9] I will take a moment to elaborate on our work regarding equity markets and private funds.[10] Equity Markets Given the 68 million… [read post]
23 Apr 2023, 6:59 am
Both agencies have the authority to issue Second Requests and take legal action to block or modify transactions that they believe would violate antitrust laws. [read post]
22 Apr 2023, 7:16 pm
On the other, business risk is substantially increased in the face of regulatory fracture--especially where the resulting regulatory landscape produces incompatible obligation. [read post]
22 Apr 2023, 6:18 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was employed by Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
22 Apr 2023, 6:18 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Blakezuniga, has three regulatory disclosures on his profile. [read post]
21 Apr 2023, 9:00 am
Regulatory agencies also have the authority to impose sanctions on nursing homes that violate regulations. [read post]
