Search for: "Financial Industry Regulatory Authority"
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4 Apr 2023, 7:59 am
In response to the Executive Order, DOJ, FTC and the NLRB have agreed to cooperate in the investigation and enforcement of federal laws restricting competition among workers regarding wages or other terms and conditions of employment as well as initiated various regulatory and enforcement projects to further strengthen these efforts. [read post]
4 Apr 2023, 7:38 am
The companies will use their combined financial strength to accelerate growth and to invest more in the frontiers of artificial intelligence in law.About vLexvLex is a global legal intelligence platform that provides legal professionals with access to the most extensive collection of legal and regulatory information worldwide, all on one award-winning and unique platform. [read post]
4 Apr 2023, 7:27 am
The companies will use their combined financial strength to accelerate growth and to invest more in the frontiers of artificial intelligence in law. [read post]
3 Apr 2023, 2:26 pm
In cases involving violations of Financial Industry Regulatory Authority (FINRA) rules, plaintiffs may be able to seek relief through FINRA arbitration. [read post]
3 Apr 2023, 12:42 pm
Privacy Policy: By subscribing to Liskow & Lewis’ E-Communications, you will receive articles and blogs with insight and analysis of legal issues that may impact your industry. [read post]
3 Apr 2023, 12:42 pm
Privacy Policy: By subscribing to Liskow & Lewis’ E-Communications, you will receive articles and blogs with insight and analysis of legal issues that may impact your industry. [read post]
3 Apr 2023, 7:48 am
The rule was established by the Financial Industry Regulatory Authority (FINRA).It requires financial institutions to authenticate the personal information of every individual customer or beneficial owner of a business, include documenting their names, birthdates, and addresses. [read post]
3 Apr 2023, 6:05 am
Support Governmental Stakeholders, Including Consumer Protection and Data Authorities Countries should ensure that foundational legal and regulatory frameworks for consumer protection and privac [read post]
3 Apr 2023, 5:45 am
” Applying this broad concept of “intent to defraud” in false business records cases, New York state courts have found such intent in a wide range of cases including when a defendant: made covert contributions to a political campaign, covered up an alleged rape, misled the relatives of a patient about the individual’s treatment, operated a motor vehicle without a license, obtained credit cards through false documents but with no proof of intention to miss payments, frustrated… [read post]
3 Apr 2023, 4:20 am
2023 FINRA AWC For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudi... [read post]
31 Mar 2023, 11:36 am
FINRA Rules regarding Unauthorized Trading FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the activities of broker-dealers and their associated persons in the United States. [read post]
31 Mar 2023, 10:30 am
A lot of folks that work in the financial sector in the UK end up using US laws because the fraud is part of a larger scheme that is within the jurisdiction of US law enforcement and regulatory authority here in the United States. [read post]
31 Mar 2023, 9:00 am
The Enforcement Division intends to focus on charging individuals for securities violations, including those who have supervisory responsibility and “gatekeeping” authority in the securities industry. [read post]
31 Mar 2023, 8:40 am
Conflicting Appeals Court Decisions Add Nuance to a CFPB Supreme Court CaseDigital Transactions News – March 24, 2023 With a federal appeals court ruling on Thursday upholding the Consumer Financial Protection Bureau’s constitutionality, the CFPB, along with its severest critics, find themselves at a crossroads at a time when the agency has become significantly more energetic in overseeing the payments industry. [read post]
31 Mar 2023, 7:01 am
Attorney’s Office for the District of New Jersey, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority. [read post]
31 Mar 2023, 5:16 am
The MICITT and the CSIRT-CR took the lead in convening this team, based on the authorities outlined in Decree 37052. [read post]
30 Mar 2023, 11:00 am
What can the Federal Energy Regulatory Commission do? [read post]
30 Mar 2023, 8:48 am
FINRA is the Financial Industry Regulatory Authority, which is a self-regulatory organization that oversees the securities industry in the United States. [read post]
30 Mar 2023, 6:52 am
FINRA and the SEC Regulations – Breach of Fiduciary Duty FINRA (Financial Industry Regulatory Authority) and the SEC (Securities and Exchange Commission) are regulatory bodies that oversee the securities industry in the United States. [read post]
30 Mar 2023, 5:45 am
News outlets are literally and figuratively running on fumes, running their operations on gas-powered generators amid blackouts and an industry – and economy-wide — financial crisis. [read post]
