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18 Jan 2022, 9:05 am
The committee will hear testimony from Christine Bliss, president of the Coalition of Services Industry; Wendy S. [read post]
18 Jan 2022, 1:37 am
To what extent do the Bank of England and Financial Conduct Authority apply and interpret regulatory policy in these areas in a proportionate manner and strike the right balance between regulation and competitiveness? [read post]
17 Jan 2022, 12:12 pm
By leveraging AI, lawyers can quickly see where opposing counsel is misrepresenting the facts and law, and efficiently build a facts section and a table of authorities in minutes. [read post]
17 Jan 2022, 12:12 pm
We need your vote! [read post]
14 Jan 2022, 2:47 pm
The Mescalero Apache Tribe Chief Financial Officer (CFO). [read post]
14 Jan 2022, 9:07 am
MiFID standardized banking practices and restored confidence in the financial industry. [read post]
13 Jan 2022, 9:15 am
Financial Institutions Financial institutions, banks, and other lenders who finance virtual currencies and other digital assets will find it easier to arrange secured lending transactions under Chapter 12 (and conforming changes under UCC Chapter 9). [read post]
12 Jan 2022, 9:09 am
FINRA Said Triad Brokers Unsuitably Recommended LJM Preservation and Growth Fund In December 2021, the Financial Industry Regulatory Authority (FINRA) censured and fined Triad Advisors $195K for allegedly failing to supervise its registered representatives that unsuitably recommended the LJM Preservation and Growth Fund (LJM) to customers. [read post]
11 Jan 2022, 8:25 am
Many Investors file a dispute with Financial Industry Regulatory Authority (FINRA) and request a FINRA arbitration. [read post]
11 Jan 2022, 7:40 am
Two Merrill Lynch Brokers Stole More Than $6M from 13 Clients In December 2021, the Financial Industry Regulatory Authority (FINRA) fined Merrill Lynch in two separate matters. [read post]
7 Jan 2022, 8:55 pm
Financial Regulatory Working Group. [read post]
7 Jan 2022, 11:54 am
" Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without adm... [read post]
7 Jan 2022, 6:51 am
CAC’s enforcement actions against Didi could be explained not as a coordinated campaign from central authorities, but rather disjoint actions from independent regulatory agencies competing for primacy. [read post]
6 Jan 2022, 12:19 pm
We can determine whether you have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to pursue damages. [read post]
5 Jan 2022, 10:26 am
For more about how to do this, we recommend that the administration consult a just-released Mercatus Center policy brief that Andrew Mercado and I co-authored. [read post]
5 Jan 2022, 9:29 am
[The exam in my American legal history course consists of two essays, one on the legal history of some regulatory regime my students did not study but which developed much like those they did. [read post]
4 Jan 2022, 4:00 am
Others crave recognition and attention, regardless of cost or lack of financial reward. [read post]
3 Jan 2022, 12:02 pm
FINRA Censures and Fines Triad Advisors for Supervisory Failures According to The Financial Industry Regulatory Authority (FINRA) on December 29, the regulator has censured and fined Triad Advisors $195,000 after the firm allegedly failed to supervise recommendations of the high-risk LJM Preservation and Growth Fund (LJM). [read post]
31 Dec 2021, 9:50 am
Author: Aaron Gott A couple years ago, clamor for antitrust scrutiny of the agricultural industry was growing apace. [read post]
29 Dec 2021, 12:25 pm
If you are a marijuana business in Southern California concerned about regulatory and tax compliance, our dedicated marijuana lawyers can help. [read post]
