Tag: Financial Industry Regulatory Authority

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DC Circuit Finds Some FINRA Authority Violates Private Nondelegation Doctrine - Inkl

Added to Collection on: 2024-11-24 13:01:42

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United States securities law
Financial Industry Regulatory Authority
U.S. Securities and Exchange Commission
Self-regulatory organization
United States Securities Regulation
Nondelegation doctrine
ACT
Selling away
The Financial Industry Regulatory Authority
Walker
Alpine Securities Corp.

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SEC blocks details of FINRA exams again - Financial Planning

Added to Collection on: 2024-12-11 19:34:05

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United States securities law
Financial Industry Regulatory Authority
U.S. Securities and Exchange Commission
Registered Investment Adviser
United States Securities Regulation
Self-regulatory organization
Financial adviser
OTC Bulletin Board
Selling away

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Edward Jones, Osaic, Cambridge to pay $8.2M over mutual fund fumbles

Added to Collection on: 2024-12-21 09:27:05

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Brokerage firms
United States securities law
Financial Industry Regulatory Authority
Financial markets
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Cambridge Investment Research
Selling away
Registered Investment Adviser

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Give YOURSELF a Gift this Year: Check Out Our Year-End Checklist for Feds

Added to Collection on: 2024-12-23 21:35:51

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United States securities law
Brokerage firms
Financial adviser
Financial Industry Regulatory Authority
Securities Investor Protection Corporation
U.S. Securities and Exchange Commission
Broker-dealer
Raymond James Financial
Security
Raymond James Financial Services Advisors Inc.

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Maryland Biotech Gains Regulatory Approval Research Report

Added to Collection on: 2024-12-26 16:08:52

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United States securities law
Corporate crime
U.S. Securities and Exchange Commission
Financial Industry Regulatory Authority
NASDAQ
Securities research
Security
Investment banking

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Michelle Samuel hired as Nationwide Chief Customer Officer

Added to Collection on: 2025-01-08 20:30:53

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Chief customer officer
Financial Industry Regulatory Authority
Customer experience
Customer
Unum
Michelle Samuel

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These legal cases will determine regulatory power in 2025 and beyond - Financial Planning

Added to Collection on: 2025-01-13 20:23:32

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Taxation in the United States
United States administrative law
Sources of law
Chevron Corporation
Chevron U.S.A., Inc. v. Natural Resources Defense Council, Inc.
Natural Resources Defense Council
Loper Bright Enterprises v. Raimondo
Internal Revenue Service
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Tax noncompliance
Administrative law judge
Financial Industry Regulatory Authority
Leila Carney

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Doo Financial becomes Hong Kong Stock Exchange participant - FX News Group

Added to Collection on: 2025-01-27 18:07:32

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Securities and Futures Commission
Hong Kong Stock Exchange
Futu
Financial Industry Regulatory Authority
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Foreign exchange regulation
Security token offering
Doo Financial HK Limited

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Option Trader Follows Super Micro's Slide - TradeStation

Added to Collection on: 2025-01-29 16:16:58

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Technical analysis software
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Plantation, Florida
TradeStation
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Financial Industry Regulatory Authority
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New Administration's Stance Could Signal Fewer Off-Channel Enforcement Actions

Added to Collection on: 2025-01-29 15:04:15

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76th United States Congress
Financial history of the United States
Corporate crime
U.S. Securities and Exchange Commission
Securities Exchange Act
Blackstone Inc.
Financial Industry Regulatory Authority
Investment Advisers Act
Apollo Global Management
Ernst & Young

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