Sentences with phrase «industry regulation authority»

TRACE is operated by the Financial Industry Regulation Authority (FINRA).

These rules and stipulations are born from the Financial Industry Regulation Authority (FINRA) and are applicable to all pattern day traders in the US who hold a margin account.

The Financial Industry Regulation Authority («FINRA») and U.S. Securities and Exchange Commission («SEC») define day traders as traders that buy and sell a particular security in the same trading day four or more times in any consecutive five business day period.

Not exact matches

These changes significantly restructured regulatory oversight and other aspects of the financial industry, created a new federal agency to supervise and enforce consumer lending laws and regulations and expanded state authority over consumer lending.

Wells Fargo Advisors is registered with the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority, but is not licensed or registered with any financial services regulatory authority outside of the U.S. Non-U.S. residents who maintain U.S. - based financial services account (s) with Wells Fargo Advisors may not be afforded certain protections conferred by legislation and regulations in their country of residence in respect of any investments, investment transactions or communications made with Wells Fargo Authority, but is not licensed or registered with any financial services regulatory authority outside of the U.S. Non-U.S. residents who maintain U.S. - based financial services account (s) with Wells Fargo Advisors may not be afforded certain protections conferred by legislation and regulations in their country of residence in respect of any investments, investment transactions or communications made with Wells Fargo authority outside of the U.S. Non-U.S. residents who maintain U.S. - based financial services account (s) with Wells Fargo Advisors may not be afforded certain protections conferred by legislation and regulations in their country of residence in respect of any investments, investment transactions or communications made with Wells Fargo Advisors.

She has helped AFSA establish its voice and authority on a range of issues and secured frequent meetings with a number of politicians to lobby for significant reform, as well as leading the process for submissions to government inquiries, including the Productivity Commission's inquiry into the impact of regulation on agriculture, and the Victorian Government's Animal Industries Advisory Committee, which released its report in 2016 that includes recommendations for more scale - appropriate application of the planning scheme around extensive and intensive animal husbandry.

We work with companies in the alcoholic beverage industry and municipal licensing authorities to provide licenses, enforce legislation and regulations, and resolve license issues.

Regulations ought to be drawn up by both the industry and the authority.

We took the Federal Government to court on issues like the regulation of the hospitality industry, fiscal planning, and on who had the authority to issue Certificates of Occupancy.

The Nigerian Civil Aviation Authority (NCAA) will continue to carry out consistent surveillance on the aviation industry to ensure full compliance with extant Regulations.

FDA has not yet released a draft guidance on the matter, but at a hearing yesterday, members of the U.S. House of Representatives Energy & Commerce Committee's health subcommittee raised questions about the agency's authority to regulate these tests, its motivation for doing so, and the potential impact of such regulations on the diagnostic industry.

Those of you who attended our SEMA Show seminar on emissions compliance were reminded that the California Air Resources Board (CARB) and the U.S. Environmental Protection Agency (EPA) have the combined authority to enforce anti-tampering regulations in all 50 states — and not just against manufacturers but industry resellers as well.

REPRESENTATIONS, WARRANTIES AND INDEMNIFICATION 7.1 You represent and warrant that (a) you have the authority to enter into and perform your duties and obligations under this Agreement; and (b) the website [s] where you will display Archway Affiliate Marketing Materials and your marketing practices do not and will not (i) infringe on any third party's copyright, patent, trademark, trade secret, privacy or any other rights, (ii) violate any applicable laws, rules, or regulations, including, without limitation, the CAN SPAM Act of 2003, (iii) contain defamatory or libelous material, (iv) contain pornographic or obscene material, including, without limitation, its marketing and promotional activities; (v) promote violence; or (vi) contain viruses, trojan horses, worms, time bombs, or other similar harmful or deleterious programming routines; and (c) you will comply with your obligations under this Agreement and industry guidelines as applicable.

The Financial Conduct Authority regulates financial firms in the UK, and payday loan lenders are one of the industries that are covered by their regulations.

FINRA The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for securities firms doing business in the United States and is dedicated to investor protection through regulation and complementary compliance and technology - based services.

Wiki: «Regulation can take many forms: legal restrictions promulgated by a government authority, self - regulation by an industry such as through a trade association, social regulatioRegulation can take many forms: legal restrictions promulgated by a government authority, self - regulation by an industry such as through a trade association, social regulatioregulation by an industry such as through a trade association, social regulationregulation..»

Jefferson's disdain for IP protections stemmed from IP laws dating back to medieval Europe, which granted «guilds,» or associations of artisans in a particular industry, authority by the governments to control the regulation and conduct of the various industries.

In addition, she counsels clients on SEC and Financial Industry Regulatory Authority (FINRA) requirements for investment company advertisements and sales literature, ensuring that all print and electronic documentation meets the various rules and regulations before being published.

«The fact of being a regional firm I think is a great advantage because we're already spread out across the province, we already have the business relationships with entrepreneurs in the construction industry in the north, and we have experience in dealings with government regulations and authority.»

fm.: From Wikipedia: in government, typically a regulation specifically means a piece of the delegated legislation drafted by subject matter experts to enforce a statutory instrument (primary legislation) in business, industry self - regulation occurs through self - regulatory organizations and trade associations which allow industries to set rules with less government involvement The Act that authorizes the Agency would thus be the Legislative creation of Administrative Law (they give authority to enact the regulations as they see fit AND can further clarify through oversight power.)

It argues that the rule of law is being undermined by broadly drafted laws that, in practice, allow the regulators or prosecuting authorities to decide what is illegal, eg s 75 of the Banking Act 2009 gives the Treasury the power to disapply or modify the effect of any law without Parliamentary approval, and the financial services industry as a whole increasingly relies on «principles - based regulation».

Advised wine industry association regarding provision in California's Constitution granting exclusive authority to the State, as opposed to local governments, with respect to certain kinds of regulation and taxation of the beverage alcohol industry.

The Australian Prudential Regulation Authority (APRA) oversees banks, credit unions, building societies, general insurance and reinsurance companies, life insurance, private health insurance, friendly societies and most members of the superannuation industry.

The Switzerland Financial Market Supervisory Authority (FINMA) has announced that it is going to be introducing regulations for it's Initial Coin Offering (ICO) industry which is growing extensively.

As Indian authorities continue to be perfectly ambiguous over guidelines or regulations for cryptocurrency adopters and the industry respectively — bitcoin and cryptocurrencies are neither legal nor illegal, nor regulated in India — the country's official taxation department is perfectly clear on its foray to collect taxes from individuals in the country.

While some news headlines are presenting this as a catastrophic development that will shut down the cryptocurrency industry in South Korea, the initiative of the South Korean authorities is in line with current trends toward stronger cryptocurrency regulations in China, Europe and the U.S.

Blockchain and cryptocurrency industry players both from the European Union and the rest of the world have taken a keen interest in policies and regulations currently being prepared by the EU authorities.

The report urges U.S. authorities to create regulations that protect investors but don't stifle the development and growth of the crypto industry.

In mid-December 2017, the Korean Blockchain Industry Association announced that it plans to «establish a set of specific ethical codes on the virtual currency bourses, including insider trading and market manipulation» after the South Korean financial authorities began considering cryptocurrency regulations.

Since winning the Blockchain Oscar 2017 for most innovative blockchain startup, Etherisc has built a community of entrepreneurs and traditional insurance industry players, working closely with the Swiss Financial Regulatory Authority to ensure the DIP TGE is regulation - compliant, according to the statement.

Fintech Tzero, a majority - owned subsidiary of Overstock, is launching an ICO trading platform that is fully compliant with the regulations of the United States Securities and Exchange Commission (SEC), and the Financial Industry Regulatory Authority, Inc. (FINTRA),

nucleargraduates is a ground - breaking graduate programme created by the Nuclear Decommissioning Authority (NDA) and sponsored by organisations across the nuclear industry including Rolls - Royce, the Office for Nuclear Regulation (ONR) and Sellafield Ltd amongst others.

The critical point where a profession transitions from an unregulated industry to a regulated profession (i.e. usually the assumption of legislative authority) is precisely the point at which the MINIMUM standards of behaviour are enshrined in regulation... not in a Code of Ethics.

This situation calls into question whether our bigger immediate problem isn't the Industries ability or resolve towards the enforcing existing Regulations by the Regulatory Authorities, themselves!

CFIRA has spent the last four - plus years working with the Securities & Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) regarding regulations related to the JOBS Act and industry best prIndustry Regulatory Authority (FINRA) regarding regulations related to the JOBS Act and industry best prindustry best practices.

Under these circumstances, should a Provincial Authority amend a Regulation or Bylaw to conform to what CREA had agreed to, it would call into question whether the Real Estate industry was being regulated, or if the Real Estate industry was regulating the Provincial Regulators!

Self - regulation is a great accomplishment for the industry, but with this authority comes the obligation to regulate ourselves in a manner that is deserving of the public trust.