Search for: "Financial Industry Regulatory Authority"
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23 Mar 2024, 5:31 am
Traditional financial metrics often overlook the less tangible, yet equally valuable, benefits of robust data governance—enhanced decision-making, compliance improvements, and reduced risk of data breaches. [read post]
22 Mar 2024, 9:07 am
Ron Bucher, Pinnacle Investments: Customers Allege Unauthorized Trading According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Pinnacle Investments broker Ron Bucher (CRD#: 1804910) from associating with any FINRA member at any time. [read post]
22 Mar 2024, 6:37 am
“Now is therefore precisely the right time to consider if reform of the SEC’s regulatory processes is needed,” Gulliver added.Other controversial rules. [read post]
22 Mar 2024, 5:29 am
She also authors the monthly “Women of Legal Tech” column for Legaltech News, elevating the profiles of other women making moves across the industry. [read post]
22 Mar 2024, 2:20 am
” Coming on the heels of the SEC proposing new rules in 2023 for investment advisers and broker-dealers using “predictive data analytics,” and the SEC’s joint alert with the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA) flagging concerns about increasing investment frauds involving the use of artificial intelligence, it is clear that the SEC will be focused on artificial… [read post]
21 Mar 2024, 9:05 pm
The proposed agency would be authorized to increase financial regulation and oversight of club management, sanction irresponsible owners, and prevent clubs currently competing in English leagues from joining other proposed international leagues. [read post]
21 Mar 2024, 9:04 am
Matthew Chimento Allegedly Misappropriated Client Funds According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker Matthew Chimento (CRD#: 5749914) from associating with any FINRA member at any time. [read post]
21 Mar 2024, 8:17 am
Jae Hun Kim Barred after Customer Complaints According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former E1 Asset Management broker Jae Hun Kim (CRD#: 4620963) from associating with any FINRA member at any time. [read post]
20 Mar 2024, 2:47 am
On 19 March 2024, the Financial Conduct Authority (FCA) published its Business Plan for 2024/25, setting out the work it will do over the next 12 months to help deliver its commitments in the third year of its 3-year strategy, with the aim of achieving better outcomes for consumers and markets. [read post]
19 Mar 2024, 9:05 pm
Most states grant their municipalities the authority to regulate land use through zoning laws. [read post]
19 Mar 2024, 7:00 am
About the Author Cynthia Marcotte Stamer is a practicing attorney board certified in labor and employment law by the Texas Board of Legal Specialization and management consultant, author, public policy advocate and lecturer widely known for 35 plus years of health industry and other management work, public policy leadership and advocacy, coaching, teachings, and publications. [read post]
19 Mar 2024, 4:25 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
18 Mar 2024, 6:00 am
Regulators have increased attention on issues relating to Adtech and targeted advertising more generally, and many of the laws and regulatory trends discussed in this article are driven by that focus. [read post]
18 Mar 2024, 3:54 am
The Commission is asked to conduct a thorough assessment to identify areas in which regulatory burdens for the EU’s financial sector could be reduced, and to ensure that new legislative initiatives concerning financial services are always based on impact assessments in line with agreed principles for better regulation. [read post]
18 Mar 2024, 3:00 am
In addition, the SEC oversees the Public Company Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC), and the Financial Accounting Standards Board (FASB). [read post]
17 Mar 2024, 5:42 pm
Among other things: Due to the widespread use of the Change Healthcare tools and systems as a financial clearinghouse for connecting pharmacy benefit managers, health care providers, and other key plays and health plans throughout the health care and health benefits industry, the attack has and continues to disrupt key billing, care-authorization, payment and other transactions between health care payers and pharmacies, physicians and other health care providers… [read post]
15 Mar 2024, 8:58 am
Unfortunately, we have no idea how far the FCC intends to go with its Section 214 authority. [read post]
14 Mar 2024, 1:46 pm
At the same time, the regulation seeks to reduce administrative and financial burdens for business, in particular small and medium-sized enterprises (SMEs). [read post]
14 Mar 2024, 5:52 am
About HaystackID® HaystackID solves complex data challenges related to legal, compliance, regulatory, and cyber events. [read post]
13 Mar 2024, 9:05 pm
Hammer and Hemenway Falk argue that a nongovernmental agency, similar to the Financial Industry Regulatory Authority, could require licensing for digital asset development as well. [read post]
