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27 Apr 2021, 9:45 am
The Financial Industry Regulatory Authority (FINRA) issued a statement, in which the organization characterized Mr. [read post]
27 Apr 2021, 9:45 am
The Financial Industry Regulatory Authority (FINRA) issued a statement, in which the organization characterized Mr. [read post]
26 Apr 2021, 9:02 pm
The project is financially supported by the European Union and is being implemented in partnership with the Albanian Food Industry until September 2021. [read post]
26 Apr 2021, 9:32 am
The committee will hear testimony from Douglas Glenn, deputy chief financial officer for the Defense Department; Wesley Miller, senior official performing the duties of the assistant Army secretary for financial management; Alaleh Jenkins, senior official performing the duties of the assistant Navy secretary for financial management; and Stephen Herrera, principal deputy assistant secretary of the Air Force for financial management. [read post]
25 Apr 2021, 1:10 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Frederick Rock from the securities industry for five months and ordered him to pay a $5,000 fine. [read post]
23 Apr 2021, 11:49 am
Boutique Broker-Dealer Pays Another 7-Figures to Resolve Customer Disputes Independent brokerage firm Purshe Kaplan Sterling Investments, Inc. has agreed to settle another Financial Industry Regulatory Authority (FINRA) arbitration claim with investors. [read post]
23 Apr 2021, 7:25 am
That same year, a deputy governor of the PBOC, Fan Yifei, said that financial applications of blockchain would be the key to global financial competitiveness. [read post]
23 Apr 2021, 6:34 am
Any questions may be directed to the authors or another member of EBG’s Privacy, Cybersecurity, and Data Asset Management Group. [read post]
23 Apr 2021, 1:14 am
As demand for cash grew over time, Wirecard Bank bought a safe which was located in the group’s headquarters in a Munich suburb.https://www.ft.com/content/31a8ed93-f602-47f0-9120-4b4f152ec7bc Former Goldman Analyst Barred by Finra for Insider TradingBloomberg Law Maguire bought shares in two companies through undisclosed accounts after seeing internal emails that showed the analyst covering the stocks was raising his ratings from “neutral” to “buy,” according to a… [read post]
22 Apr 2021, 10:39 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; FINRA Ombuds Publishes 2017 Report; FINRA Posts Interview with Ombuds; Job Posting (Director). [read post]
22 Apr 2021, 8:58 am
Also on Thursday, the country’s market regulatory authorities held an antitrust work conference in Kunming, Southwest China’s Yunnan Province. [read post]
22 Apr 2021, 7:33 am
The title also provides an overview of the Securities and Exchange Commission (SEC) and industry self-regulation under the Financial Industry Regulatory Authority (FINRA).Chapters include, “ Broker-Dealer Definitions and Registration Requirements”, “Exchange Trading and Market Making”, “Retail and Other Operations”, “Civil Liabilities”, and “Arbitration of Broker-Dealer Disputes”.Members can… [read post]
22 Apr 2021, 7:16 am
Even though the Bill still has to make its way through the House and the Senate to become law, some industry participants are already making plans to move to Texas due to the potentially welcoming regulatory environment. [read post]
22 Apr 2021, 2:26 am
The Commission might aim to harness the EU Taxonomy to prompt industry players to innovate and develop better solutions for the storage and disposal of nuclear waste. [read post]
21 Apr 2021, 4:39 pm
”[vi] Depending on the eventual scope of regulatory updates, the SEC’s new stance is likely to affect companies across numerous industries. [read post]
21 Apr 2021, 2:43 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Elias Hakimian from the securities industry for three months. [read post]
21 Apr 2021, 8:39 am
Att’y Gen. 20-0111 (11/24/20) (discussing the Louisiana Office of State Lands’ authority to demand removal of pipelines). [read post]
21 Apr 2021, 8:39 am
Att’y Gen. 20-0111 (11/24/20) (discussing the Louisiana Office of State Lands’ authority to demand removal of pipelines). [read post]
20 Apr 2021, 7:04 am
FINRA Panel’s Ruling is UBS Financial’s Third Loss Involving Yield Enhancement Strategy In a Financial Industry Regulatory Authority (FINRA) arbitration ruling, UBS Financial Services (UBS) must pay an Ohio couple $371K for financial losses they sustained from the brokerage firm’s Yield Enhancement Strategy (YES). [read post]
19 Apr 2021, 1:03 pm
” The Financial Industry Regulatory Authority reportedly suspended Blizzard from the securities industry after alleged failure to comply with an arbitration award or settlement agreement or to respond to a Finra request for information in June 2018, according to the regulator. [read post]
