Search for: "Financial Industry Regulatory Authority"
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31 Dec 2020, 12:57 pm
Riley Wealth Management for Supervisory Issues According to a Letter of Acceptance, Waiver and Consent (AWC) signed on December 30, the Financial Industry Regulatory Authority (FINRA) has sanctioned B. [read post]
31 Dec 2020, 12:55 pm
Morgan Stanley’s Supervisory Failures result in almost $1.4 Million in Overcharges According to a Letter of Acceptance Waiver and Consent (AWC) signed December 30, The Financial Industry Regulatory Authority (FINRA) has sanctioned Morgan Stanley Smith Barney (CRD # 149777) for supervisory failures connected to recommendations of 529 Savings Plans. [read post]
29 Dec 2020, 9:50 am
By Amy Leisinger, J.D.In response to the challenges posed by the COVID-19 pandemic, the Financial Industry Regulatory Authority has requested comment on how firms and investors have fared regarding FINRA requirements and the unprecedented changes to business operations while maintaining access to capital markets. [read post]
28 Dec 2020, 9:03 pm
The Regulatory Review is pleased to highlight the top essays from 2020 authored by our staff. [read post]
28 Dec 2020, 11:45 am
Regulatory comments surrounding unhosted, or noncustodial, wallets have attracted some criticism from the industry as potentially intruding on basic privacy rights of citizens. [read post]
28 Dec 2020, 10:59 am
FINRA Reportedly Bars Michael Shillin after Alleged Dismissal for Misrepresentations According to a Letter of Acceptance Waiver and Consent (AWC) signed on December 18, 2020, The Financial Industry Regulatory Authority (FINRA) reportedly barred former advisor Michael Shillin (CRD#: 5927156, Altoona, WI) from association with any FINRA member in all capacities after he purportedly refused to appear for on-the-record testimony. [read post]
28 Dec 2020, 10:48 am
FINRA Reportedly Bars Brian Radoo after Alleged Dismissal for Outside Business Activities According to a Letter of Acceptance Waiver and Consent (AWC) signed on December 18, 2020, The Financial Industry Regulatory Authority (FINRA) has reportedly barred advisor Brian Radoo (CRD#: 2558458, North Woodmere, NY) from association with any FINRA member in all capacities after he refused to appear for on-the-record testimony. [read post]
28 Dec 2020, 8:11 am
It is important to note that similar statutory and regulatory requirements exist at the state level and at the federal level outside of the financial services industry. [read post]
27 Dec 2020, 9:06 pm
The Regulatory Review is pleased to highlight our top regulatory essays of 2020 authored by a select number of our many expert contributors. [read post]
27 Dec 2020, 12:49 pm
The Financial Industry Regulatory Authority (FINRA) is authorized by Congress to regulate the financial services industry and operates the largest arbitration forum for securities disputes. [read post]
24 Dec 2020, 7:21 am
The real reason that merchants face routing impediments is that the global brands have used their market share power to thwart industry and regulatory desires to maintain a robust, competitive, compliant and fair payments system. [read post]
23 Dec 2020, 6:01 am
And recent reports indicate that Uighurs in the area have also been forced into labor in the cotton industry. [read post]
22 Dec 2020, 9:43 am
Financial Reports. [read post]
22 Dec 2020, 9:26 am
Transamerica’s settlement with the Financial Industry Regulatory Authority Inc. purportedly includes a $4.4 million fine and $4.4 million in restitution to approximately 2,400 customers. [read post]
22 Dec 2020, 9:26 am
Transamerica’s settlement with the Financial Industry Regulatory Authority Inc. purportedly includes a $4.4 million fine and $4.4 million in restitution to approximately 2,400 customers. [read post]
21 Dec 2020, 5:17 pm
In acquiescence to the District Court’s January, 2020 holding that the prohibition against Covered Entities charging for third party copies in the current regulations exceeded its statutory authority in Ciox Health, LLC v. [read post]
21 Dec 2020, 11:18 am
§ 20-410 “impliedly amended” the state automobile financial responsibility laws that required the issuance of an automobile certificate of insurance by an authorized insurer. [read post]
21 Dec 2020, 7:26 am
He stated, "In fact, they can proceed immediately, as they have the authority and the responsibility to manage risks to the financial system and this includes financial risks. [read post]
21 Dec 2020, 3:49 am
FINRA Bars Californian Financial Advisor After Older Customers Suffer Huge Losses Cynthia Diane Cowden, a former NPB Financial Group stockbroker, has been barred by the Financial Industry Regulatory Authority (FINRA). [read post]
20 Dec 2020, 9:03 pm
President Bill Clinton’s Executive Order 12,866 attempted a course correction, but, over time, the system has largely devolved into a backdoor channel for industry lobbyists seeking to weaken regulations for financial gain. [read post]
