Search for: "Financial Industry Regulatory Authority"
Results 1141 - 1160
of 11,221
Sort by Relevance
|
Sort by Date
10 Mar 2023, 1:51 pm
This obligation exists under federal law and under the rules enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
10 Mar 2023, 10:00 am
She also has decades of regulatory and other government affairs experience with these concerns including defending these and other businesses before the IRS, EBSA, WHD, EEOC, OCR, HHS, state labor, insurance, and other authorities, and evaluating and responding to federal, state and local statutory, regulatory and enforcement actions by federal and state legislators and regulators. [read post]
10 Mar 2023, 8:17 am
As Gensler was again making the case that virtually all cryptocurrencies except bitcoin are securities over which his SEC has authority, Sens. [read post]
8 Mar 2023, 3:02 pm
However, as Nyarko and his co-author note, there are also, for the moment, real limits on what NLP can do. [read post]
8 Mar 2023, 7:27 am
It dove into what the author deemed the “age of the crypto whistleblower[s]. [read post]
7 Mar 2023, 9:01 pm
Developments in the United States In the last six months, ESG initiatives and antitrust have come to the forefront of legislative and regulatory policy. [read post]
7 Mar 2023, 10:08 am
Will your existing consumer disclosures withstand the close scrutiny of a regulatory review. [read post]
7 Mar 2023, 9:01 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
6 Mar 2023, 1:37 pm
” Third, the DOD and the intelligence community “commit[s] to bringing to bear their full range of complementary authorities to disruption campaigns. [read post]
6 Mar 2023, 2:00 am
Trends have included record breaking resignations, quiet quitting, and most recently, layoffs across industries including tech, financial services, food and beverage, and media. [read post]
5 Mar 2023, 3:50 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
3 Mar 2023, 4:04 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
3 Mar 2023, 2:51 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
3 Mar 2023, 10:17 am
About the Author Recognized by her peers as a Martindale-Hubble &ldq [read post]
3 Mar 2023, 5:16 am
However, existing authorities will set these minimum requirements where possible. [read post]
3 Mar 2023, 3:30 am
In 2020, Utah was first to launch its legal regulatory sandbox and, in Canada, law societies in three provinces have subsequently launched sandbox initiatives in relatively quick succession (see, here, here and here).1 These developments follow earlier use of rule waivers and “innovation spaces” overseas by the Solicitors Regulation Authority (the regulator of solicitors in England and Wales) starting in 2016.2 All of this has taken place in the backdrop of sandbox use… [read post]
2 Mar 2023, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
1 Mar 2023, 6:07 am
” “The Economic Crime and Corporate Transparency Bill, currently working its way through the legislative process, has started to move the dial on AML supervision on the legal sector, introducing new fining powers for the Solicitors Regulation Authority (SRA) and Scottish Solicitors’ Discipline Tribunal and a new regulatory objective around preventing economic crime. [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
