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31 May 2024, 11:49 am
Merrill Lynch, who self-reported the issue, reportedly signed separate consent orders with the Financial Industry Regulatory Authority (FINRA) and the New Hampshire Bureau of Securities Regulation. [read post]
30 May 2024, 7:28 am
Thrivent Investment Management Sanctioned by Securities Regulators Thrivent Investment Management Inc has reportedly been fined $325,000 and sanctioned for failing to properly supervise electronic signatures, which led to the falsification and forgery of customer documents, according to the Financial Industry Regulatory Authority (FINRA). [read post]
21 May 2024, 9:01 pm
A legal challenge to the Final Rule has already been filed by an insurance industry trade group in the U.S. [read post]
17 May 2024, 11:26 am
In March 2024, Evershed Sutherland (US) LLP released its annual report (the Report) detailing disciplinary and enforcement actions initiated by the Financial Industry Regulatory Authority (“FINRA”) during the 2023 year. [read post]
16 May 2024, 9:43 am
FINRA Updates Guidance on Chatbot Messaging and AI Generated content The Financial Industry Regulatory Authority (FINRA) has updated its guidance this week on firms and their use of chatbot messaging and AI generated content. [read post]
8 May 2024, 7:20 pm
Inc. reportedly settled with the Financial Industry Regulatory Authority (FINRA), agreeing to pay a $500,000 fine. [read post]
8 May 2024, 5:13 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
7 May 2024, 12:30 pm
Court of Appeals for the Second Circuit affirmed the decision on the ground that the two distributors were in the baking industry, not the transportation industry, and therefore did not qualify for the arbitration exemption. [read post]
7 May 2024, 7:35 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
4 May 2024, 8:31 pm
Solutions Law Press, Inc. invites you to receive future updates by registering on here and participating and contributing to the discussions in our Solutions Law Press, Inc. [read post]
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
1 May 2024, 8:18 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
30 Apr 2024, 2:51 pm
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
30 Apr 2024, 9:40 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
29 Apr 2024, 10:00 pm
Consumer Regulatory Law Access this practice note for a comprehensive review of the federal legal framework for financial institutions and entities that provide consumer financial services. [read post]
19 Apr 2024, 2:04 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
19 Apr 2024, 1:43 pm
Michael Capolongo Network 1 Financial Securities Inc. [read post]
19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
18 Apr 2024, 6:26 am
The author and Solutions Law Press, Inc. reserve the right to qualify or retract any of these statements at any time. [read post]
3 Apr 2024, 9:03 pm
Douglas award,[9] made this point in congressional testimony that recommended, among other things, greater involvement of the Commission in interpreting regulatory policy.[10] Katz contended that having the Commission “micromanage” or displace the staff in performing their “daily responsibilities” would be “a disastrous outcome,” but “the Commission is the final authority on questions of regulatory policy, both in the… [read post]
