Search for: "Financial Industry Regulatory Authority"
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23 Sep 2021, 1:55 pm
Instead, pursuant to the contract binding you, the investor/client, to the brokerage firm, you must submit all disputes to arbitration through the Financial Industry Regulatory Authority (FINRA). [read post]
23 Sep 2021, 8:41 am
In addition, digital assets may not be subjected to the same custody and capital safeguards as securities, thus subjecting the investors to potentially much greater risk of loss if a service provider experiences financial strains, they noted.Any actions taken by the SEC will not preclude other regulators from exercising their statutory authority with respect to stablecoins and other digital assets, the group noted. [read post]
22 Sep 2021, 12:53 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
22 Sep 2021, 11:50 am
FINRA Bars Former AXA Advisor, Jenna Kang after Failure to Provide Information in its Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Jenna Kang (Jihye Kang) (CRD#: 6334679) from the securities industry after she allegedly refused to produce the information and documents requested by FINRA in connection with its investigation into whether Kang had… [read post]
22 Sep 2021, 10:28 am
after Failure to Provide Information in its Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Ronald Joseph Giovino, Jr. [read post]
22 Sep 2021, 8:55 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
22 Sep 2021, 7:24 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
22 Sep 2021, 7:00 am
In 2019 and 2020, the PCAOB interviewed firm leaders as well as engagement partners on audits in the banking industry and issuers with CECL-related assets. [read post]
22 Sep 2021, 3:30 am
ADDITIONAL AUTHORITIES FinCEN, in addition to the guidance and enforcement activities above, has also engaged with industry, law enforcement, and others on the ransomware threat through the FinCEN Exchange public-private partnership. [read post]
21 Sep 2021, 7:16 am
Two of those Financial Industry Regulatory Authority (FINRA) arbitration cases resulted in huge settlements, including one for $3.5M. [read post]
21 Sep 2021, 2:24 am
Raymond James Broker Made Unsuitable Recommendation That Led To Northstar Financial Bermuda Losses Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) will be filing yet another Financial Industry Regulatory Authority (FINRA) arbitration claim against a brokerage firm for unsuitably recommending Northstar Financial Services (Bermuda) products to a customer. [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
20 Sep 2021, 11:44 am
Cyber Command, with particular emphasis on whether all such NSA support is properly authorized. i. [read post]
20 Sep 2021, 9:10 am
The Securities and Exchange Commission's Division of Examinations and Office of Municipal Securities (OMS), the Municipal Securities Rulemaking Board (MSRB), and the Financial Industry Regulatory Authority (FINRA) today announced the opening of…Read the Full Press ReleaseHave a securities law question? [read post]
20 Sep 2021, 6:58 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Stewart’s customer complaints allege that Stewart recommended unsuitable investments in illiquid alternative investments – a high risk investment category. [read post]
