Search for: "Financial Industry Regulatory Authority"
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9 Jun 2023, 10:50 am
The Financial Industry Regulatory Authority Inc. promoted Nathaniel Stankard to executive vice president and chief of staff to the CEO for regulatory operations. [read post]
29 Jun 2007, 2:16 pm
The newly formed self-regulatory organization for broker-dealers will be called The Securities Industry Regulatory Authority (SIRA). [read post]
6 May 2020, 11:27 am
The Securities and Exchange Commission today issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to submit a new National Market System plan (NMS plan) with a modernized governance…Read the Full Press ReleaseHave a securities law question? [read post]
17 Jul 2023, 8:35 am
On 17 July 2023, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) published an update on the Regulatory Initiatives Grid (the Grid) following Royal Assent of the Financial Services and Markets Act 2023 (the Act), given its significance for the financial services regulatory landscape. [read post]
6 Jul 2021, 2:12 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor John Swon from the securities industry. [read post]
14 Oct 2015, 12:00 pm
The Financial Industry Regulatory Authority (FINRA) is introducing new rule proposals that would let financial advisers pause orders if they suspected there to be any financial exploitation of senior investors. [read post]
8 Aug 2014, 2:54 pm
According to the Financial Industry Regulatory Authority (FINRA), former broker Jaime Andres Diaz has been barred from working in the industry by the Financial Industry Regulatory Authority and ordered to pay $600,000 in restitution to clients. [read post]
12 Jan 2021, 8:09 am
Lax Oversight Purportedly Allowed An LPL Broker to Continue Defrauding Customers in Ponzi Scam The Financial Industry Regulatory Authority (FINRA) has fined LPL Financial Holdings (LPLA) $6.5M due to purported supervisory inadequacies related to recordkeeping, fingerprinting employees that were non-registered representatives, and its financial advisers’ consolidated reports. [read post]
26 Jul 2021, 7:28 am
FINRA Bars Boker Jason LaBelle after Allegations of Outside Business Activities According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Jason LaBelle (CRD #5654529) from the securities industry. [read post]
20 Jun 2012, 3:48 pm
The Financial Industry Regulatory Authority (FINRA) released a Regulatory Notice in May clarifying its new suitability rule, Rule 2111. [read post]
20 Jun 2012, 3:48 pm
The Financial Industry Regulatory Authority (FINRA) released a Regulatory Notice in May clarifying its new suitability rule, Rule 2111. [read post]
1 Mar 2012, 1:42 am
Our Global Financial Services Regulatory Group: As part of Reed Smith's Financial Industry Group's 200 lawyers, our Financial Services Regulatory Group (FSRG) offers sophisticated bank regulatory and retail finance compliance advice. [read post]
26 Apr 2018, 6:28 am
The Financial Industry Regulatory Authority (FINRA) recently barred Marcus D. [read post]
17 Nov 2022, 9:50 am
Meenagh, Matthew Rodwell, and Ksenia Koroleva On November 1, 2022, the Dubai Financial Services Authority (DFSA) crypto token regulatory regime came into effect. [read post]
7 May 2019, 6:26 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Neely has been accused by FINRA of engaging in unauthorized trading in client accounts. [read post]
11 Jan 2017, 4:08 am
It's not exactly a scene from Mary Poppins when the Financial Industry Regulatory Authority sings about kites. [read post]
15 Nov 2021, 8:32 am
On 25 October 2021, the Dubai Financial Services Authority (DFSA), the regulatory body of the Dubai International Financial Centre (DIFC), announced that it implemented a regulatory framework for investment tokens issued or traded within the DIFC (Regulatory Framework for Investment Tokens), which follows from the Consultation Paper No. 138 (Regulation of Security Tokens) it issued earlier in March this year. [read post]
16 Jun 2019, 10:20 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Gabriel Block (Block) has been subject to at least 12 customer complaints and five regulatory actions during his career. [read post]
3 Nov 2015, 6:00 pm
The Financial Industry Regulatory Authority (FINRA) has proposed new rules to combat the financial exploitation of senior citizens. [read post]
22 Jun 2021, 7:37 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Kevin McCallum from the securities industry for one year. [read post]
