self-regulatory

WASHINGTON—The Supreme Court on Tuesday refused to consider an appeal that questioned whether the Financial Industry Regulatory Authority and other so-called self-regulatory organizations are immune from private lawsuits.

High Court Declines to Weigh In on Finra's Immunity

The Center for Digital Democracy is part of the Transatlantic Consumer Dialogue, a coalition of U.S. and European Union consumer and public-interest groups that called the self-regulatory program "inadequate" in a September letter to the FTC, and the Article 29 Working Party, a group of privacy watchdogs from the EU's 27 nations.

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CME Group: The parent company of the Chicago Mercantile Exchange and New York Mercantile Exchange has responsibility as a self-regulatory organization, overseen by the CFTC, to monitor MF Global's futures trading operation, including customers' accounts

Regulators Enter the MF Fray

The industry has been working to come up with a self-regulatory safety net that would stop a run against all funds if one or more failed, but its fail safe includes access to the Federal Reserve's discount window.

Money-Market Mayhem

Meanwhile, the securities industry's self-regulatory organization, the Financial Industry Regulatory Authority, is likely to impose by this summer a large fine against a brokerage firm for improperly selling reverse convertible notes, people familiar with the matter said.

Complex Bond Faces Regulators' Scrutiny

Chairing the SEC we have Mary Schapiro, formerly head of FINRA, the investment banking industry's self-regulatory body, which stood by happily while all those AAA-rated securities were being sold, often by investment banks that were secretly betting they would fail.

Charles Ferguson: Summers Down, Fifty Odd More to Go

As a result, the report said, the SEC should spin off a greater share of its examination work to self-regulatory bodies like the Financial Industry Regulatory Authority or adopt an approach structured around a private-sector examination program.

Chamber of Commerce Calls for SEC Changes

Speaking at the Technology Policy Institute, Rep. Stearns said his proposal would allow the FTC to approve a five-year self-regulatory program that would encourage companies to offer more information to consumers about how they were being tracked.

Proposed Bill Would Put Curbs on Data Gathering

Behavioral changes are reinforced with cognitive behavioral therapy, training students on the self-regulatory behaviors required for long-term weight control.

Kristen Houghton: 'Too Fat For 15': Morbid Obesity And Teens

Mr. Lockyer said the state was alerted to the issue recently when brokers' self-regulatory agency, Financial Industry Regulatory Authority, sent out a letter to California trade-group members demanding information about how they pay for membership, whether they are reimbursed by the state and how the money is used.

California Wants Underwriters' Money Back