Search for: "Financial Industry Regulatory Authority" Results 101 - 120 of 11,148
Sort by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
19 Apr 2024, 2:04 pm by Silver Law Group
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
19 Apr 2024, 1:43 pm by Silver Law Group
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
19 Apr 2024, 9:36 am by Michael Gilbert and Christopher Bosch
Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services industry. [read post]
19 Apr 2024, 9:27 am by CFM Admin
It is a must-attend gathering for industry professionals, providing unparalleled insights and networking opportunities. [read post]
18 Apr 2024, 12:52 pm by Kelly Shivery
  The CFTC holds enforcement authority and regulatory oversight over VCMs and any trading activities within these markets. [read post]
Also authorizing the assignment of an interest in a RUE for the first time ever under the regulations, but such transfers may similarly be rejected unless and until all base level and supplemental financial assurance requirements are satisfied. [read post]
18 Apr 2024, 6:26 am by Cynthia Marcotte Stamer
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
16 Apr 2024, 9:05 pm by renholding
But this attitude started changing amid explosive industry growth and reports of hidden fees and conflicts of interest in the years following the global financial crisis of 2008. [read post]
15 Apr 2024, 10:00 pm by Sherica Celine
Practitioners can explore blockchain and regulatory considerations to aid in advising banks, financial intermediaries, and financial technology startups on distributed ledger technology. [read post]
15 Apr 2024, 10:00 pm by Sherica Celine
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
15 Apr 2024, 6:43 am by Simon Lovegrove (UK) and Anita Edwards
This includes working closely with the Bank of England, the Financial Conduct Authority and the Prudential Regulation Authority. [read post]
11 Apr 2024, 9:48 pm by Hugh Rennie
’s ability to address climate change by passing the regulatory authority of the issue from agencies to Congress. [read post]
11 Apr 2024, 5:47 am by centerforartlaw
However, some experts in the art market continue to express concern, suggesting that the city may have gone too far in dismantling regulations.[21] Regardless of the intention behind it, this move marks a significant shift in the regulatory landscape governing the auction industry. [read post]
The upshot of this and other examples is that self-reporting and voluntarily remediating issues will matter for the ultimate penalty imposed (if any at all) and may limit the SEC’s imposition of non-financial remedies. [read post]
On 9 April 2024, the Financial Conduct Authority (FCA) published Consultation Paper CP24/6 on the rules that enable the FCA to raise regulatory fees and levies in 2024/2025 to fund the FCA and the Financial Ombudsman Service (FOS). [read post]
8 Apr 2024, 10:00 pm by Sherica Celine
Bank Climate-Related Financial Risk Regulatory Tracker Explore key rules (final and proposed) on climate-related financial risk requirements undertaken by the White House, SEC, Department of Treasury, and other federal banking agencies. [read post]
8 Apr 2024, 9:01 pm by renholding
Significantly, unless appropriate regulatory exceptions are recognized, the restrictions may have important operational impacts on certain international, financial, and life science companies, although it appears that the current intention is that transactions “ordinarily incident to and part of the provision of financial services” will not be covered by the forthcoming regulations. [read post]
5 Apr 2024, 6:00 am by Evangelina Cantu
As with the prior attempts to modify what it means to be an investment advice fiduciary under ERISA, the DOL is facing pushback against the proposal from various sources in the financial services industry. [read post]