Search for: "Financial Industry Regulatory Authority"
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24 Jun 2022, 7:23 am
Britain Plans to Regulate ‘Buy Now, Pay Later’ LendersReuters – June 20, 2022 Britain plans to make “buy now, pay later” (BNPL) companies carry out affordability checks, gain approval by the Financial Conduct Authority (FCA) and ensure adverts are fair and clear, the government said on Monday, in measures to regulate the sector. [read post]
24 Jun 2022, 7:12 am
Antonia Tzinova practices in the areas of international trade, foreign direct investment and industrial security. [read post]
24 Jun 2022, 7:12 am
Antonia Tzinova practices in the areas of international trade, foreign direct investment and industrial security. [read post]
24 Jun 2022, 6:00 am
The Oversight and Anti-Corruption Authority, which investigates financial and administrative corruption, has set up an online- and telephone-based system for citizens to report violations. [read post]
23 Jun 2022, 9:04 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
22 Jun 2022, 9:01 pm
Nonetheless, granting CFTC primary regulatory authority over cryptocurrencies will likely be welcomed by the Web3 industry, which has generally viewed digital assets as more akin to commodities than securities. [read post]
22 Jun 2022, 1:10 pm
He suggests that the US Government needs to step in an set a clear regulatory path around data privacy and security so that businesses know what the rules are, and the legal industry can better advise their clients on what steps they need to take to be compliant. [read post]
22 Jun 2022, 5:11 am
Most notably, he indicated that the CFPB “is reviewing other authorities authorized by Congress that have gone unused. [read post]
21 Jun 2022, 9:01 pm
The SFC maintains a public register of ESG funds authorized by the SFC. [read post]
21 Jun 2022, 2:06 pm
Co-authored by Juliane Mahoney, Summer Associate. [read post]
21 Jun 2022, 6:13 am
Written into your customer agreement with your brokerage firm is a fine-print clause that states you must resolve any legal dispute through Financial Industry Regulatory Authority, or FINRA, arbitration proceeding. [read post]
20 Jun 2022, 8:18 am
FINRA Censures and Fines United Planners for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on June 17, the regulator censured and fined United Planners’ Financial Services of America $40,000 and ordered the firm to pay partial restitution of $37,125, plus interest. [read post]
20 Jun 2022, 7:29 am
Candella served as an extern in the Enforcement Division of the Financial Regulatory Authority (FINRA), where she assisted in the investigation of member firms and associated persons for violations of federal securities laws and industry rules. [read post]
20 Jun 2022, 3:58 am
It outlines the administrative and regulatory requirements, process and production challenges, and specific cultural and market-specific risks. [read post]
19 Jun 2022, 9:08 pm
The chicken industry features a unique organizational structure. [read post]
19 Jun 2022, 7:17 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
17 Jun 2022, 11:22 am
A former head of the Copyright Office, who now leads a publishing industry lobbying group, famously said that “copyright is for the author first and the nation second. [read post]
16 Jun 2022, 9:05 pm
Second, we present evidence on public-company disclosures consistent with issuers’ understanding that the SEC has long had authority to take regulatory action in this area. [read post]
16 Jun 2022, 2:07 pm
The following are the key federal broker-dealer statutes that an issuer (or company) using an unregistered finder should be aware of: Section 15(a)(1) of the Securities Exchange Act of 1934 (Exchange Act) prohibits anyone from “effecting a transaction in securities” or “attempt to induce the purchase or sale of any security” unless they are registered as a broker or dealer under the Financial Industry Regulatory Authority, Inc. [read post]
16 Jun 2022, 1:16 pm
Couple File FINRA Arbitration Claim Against Center Street Securities Seeking Up to $500K in Damages A Missouri couple in their 90s and 80s have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Center Street Securities and its broker Joseph Martin LaTour. [read post]
