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Financial Industry Regulatory Authority Adopts Residential Supervisory Location and Remote Inspection Rules.

• Authors : Marino, Elizabeth A.¹

Subjects: *TELECOMMUTING; *FINANCIAL services industry; *FLEXIBLE work arrangementsFINANCIAL Industry Regulatory Authority ; UNITED States. Securities & Exchange Commission

• Source: Investment Lawyer. Jun2024, Vol. 31 Issue 6, p25-27. 3p.

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Does the SEC crackdown on AI and other tech go too far?

• Authors : Shaw, Dan (AUTHOR)

Subjects: *FINANCIAL planning industry; *ARTIFICIAL intelligence; *FINANCIAL services industryUNITED States. Securities & Exchange Commission

• Source: Financial Planning. Nov/Dec2023, Vol. 53 Issue 9, p14-15. 2p.

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CFPB funding mechanism does not violate Appropriations Clause.

Subjects: *FINANCIAL services industry; FINANCIAL policy; APPELLATE courtsUNITED States. Consumer Financial Protection Bureau

• Source: Banking & Financial Services Policy Report. Jun2024, Vol. 43 Issue 6, p12-14. 3p.

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Consumer Financial Protection Bureau et al., Petitioners.

Subjects: PUBLIC finance; FINANCIAL services industry; UNITED States. Consumer Financial Protection Bureau

• Source: Supreme Court Debates. Nov2023, Vol. 26 Issue 8, p14-21. 8p.

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THE CONSUMER FINANCIAL PROTECTION BUREAU: Structure, Funding and Legal Challenges.

Subjects: PUBLIC finance; FINANCIAL services industry; UNITED States. Consumer Financial Protection Bureau

• Source: Supreme Court Debates. Nov2023, Vol. 26 Issue 8, p6-8. 3p.

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WELCOME, COMRADES.

• Authors : SHUSTER, SIMON; BERGENGRUEN, VERA; ABRAMSON, ALANA

Subjects: BOUCHARD, Craig T., 1953-; UNITED Co. RUSAL PLC; ALUMINUM industry

• Source: TIME Magazine. 8/26/2019, Vol. 194 Issue 7, p42-48. 7p. 3 Color Photographs.

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Allow the money: With federal legislation stalled, cannabis businesses continue their search for financial service providers.

• Authors : REDMOND, KIMBERLY

Subjects: UNITED States. Drug Enforcement Administration; FEDERAL Deposit Insurance Corp.; MARIJUANA industry

• Source: njbiz. 10/23/2023, Vol. 36 Issue 39, p4-7. 3p.

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Banking Crisis Draws Bipartisan Blame on Capitol Hill as Regulators Get Roasted.

• Authors : Smart, Tim

Subjects: UNITED States. Congress; BANKING industry; FINANCIAL crises

• Source: U.S. News & World Report - The Report. 3/31/2023, pC5-C9. 5p. 1 Color Photograph.

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Sallie Krawcheck.

• Authors : BRODY, LIZ (AUTHOR)

Subjects: *BUSINESSPEOPLE; *WEALTH management services; *VENTURE capitalUNITED States. Congress. House

• Source: Entrepreneur. Oct/Nov2022, Vol. 50 Issue 7, p54-55. 2p. 1 Color Photograph.

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SEC tells advisors to rein in Reg BI conflicts of interest.

• Authors : Salinger, Tobias (AUTHOR)

Subjects: *CONFLICT of interests; *CONSULTANTS; *INVESTMENT advisorsUNITED States. Securities & Exchange Commission

• Source: Financial Planning. Sep2022, Vol. 52 Issue 7, p16-18. 3p. 2 Color Photographs.

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