Sentences with phrase «financial industry regulation»

Changes to financial industry regulation since the crises of 2008 have moved towards making individuals responsible for what their companies do or don't do, to protect clients and the market.

Financial Regulation Restructuring — Vote Passed (233 - 186, 11 Not Voting) Passage of the bill that would overhaul financial industry regulations and repeal many provisions of the 2010 financial regulatory overhaul law.

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.

A recent study by the Financial Industry Regulation Authority (FINRA) Investor Education Foundation, «Financial Capability in the United States» found that 41 percent of families with children have set aside money for college education.

«The agreement is being negotiated with a lack of transparency, but we know that the TPP will affect jobs, environmental protections, prescription drug prices, financial industry regulations, internet freedom, food safety and much more.»

This is due to Trump's plan to roll back some of the financial industry regulations.

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.

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

«It's no surprise that compliance is a consistent challenge for firms, particularly as the financial industry regulation becomes much less forgiving.

As a licensed insurance company subject to financial industry regulation,