Search for: "Financial Industry Regulatory Authority"
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24 Jul 2020, 12:10 am
Thompson also worked with leaders of the financial services industry to reform the operations of the New York Stock Exchange, and spearheaded the City's innovative Banking Development District program. [read post]
23 Jul 2020, 9:05 pm
Food and Drug Administration (FDA) authorized the use of so-called pooled samples when testing for COVID-19. [read post]
23 Jul 2020, 8:30 am
"Federal Regulatory Authority prudential rulemaking. [read post]
23 Jul 2020, 7:22 am
Open banking in the Latin American region has expanded for several years, but the regulators and financial authorities underpinning these initiatives have had to quickly adapt to changes brought on by the pandemic. [read post]
23 Jul 2020, 6:50 am
FINRA Investigates Stephen Sloane for Allegations of Unsuitable Short-Term Trading According to public records on the Financial Industry Regulatory Authority’s website and various reports, financial advisor Stephen Sloane was named a respondent in a FINRA complaint alleging that he recommended an unsuitable investment strategy to retail customers. [read post]
21 Jul 2020, 9:49 am
Marshall Isaacson, Newbridge Securities, Barred from the Securities Industry FINRA Reportedly Bars Advisor Marshall Isaacson after Allegations of Unsuitable Investment Recommendations According to the Financial Industry Regulatory Authority (FINRA) on July 20, the regulator has reportedly barred financial advisor Marshall Isaacson from the securities industry. [read post]
20 Jul 2020, 7:00 am
As is generally the case in the leading OFCs today, the financial services industry contributed significantly to the Antilles total government revenues. [read post]
17 Jul 2020, 3:00 am
As California mandates a zero-exhaust big rig fleet for industrial transportation, the House Committee unveiled in its new Green Deal a plan to include a $500 billion benchmark for nationwide zero-exhaust fleets. [read post]
16 Jul 2020, 9:41 am
Former Financial Representative Is Facing Criminal Trial for Annuity Fraud The Financial Industry Regulatory Authority (FINRA) has fined Northwestern Mutual Investment Services $350K for failing to properly supervise former stockbroker, Sampson Pearson, which enabled him to defraud customers of $570K. [read post]
16 Jul 2020, 9:23 am
The Financial Conduct Authority (FCA) said Thursday (July 9) it has introduced stronger measures to protect the users of payment cards and digital apps. [read post]
16 Jul 2020, 9:09 am
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for a virtual Compliance Outreach Program for Municipal Advisors. [read post]
16 Jul 2020, 7:20 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
16 Jul 2020, 6:29 am
Consumer Financial Protection Bureau, asking the court to put an end to PayPal, Inc. [read post]
15 Jul 2020, 10:47 am
Filing a Complaint against your Brokerage Firm Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
15 Jul 2020, 9:11 am
Benson filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker-dealer and the two men. [read post]
15 Jul 2020, 7:20 am
With the constant development of China’s asset management industry, Llinks keeps close working relationships with the relevant authorities and industry regulators. [read post]
15 Jul 2020, 4:25 am
The SEC ordered the payment of a $1 million penalty. **** Offshore Matters Cayman Island Monetary Authority (“CIMA”) Provides Further Guidance on the Definition of a “Private Fund. [read post]
13 Jul 2020, 2:29 pm
Stamer or her health industry and other experience and involvements, see http://www.cynthiastamer.com or contact Ms. [read post]
13 Jul 2020, 9:09 am
Alternative Asset Firm Gets Federal Aid While Its Investors Fight To Recover Their Losses Even as the US Securities Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the FBI, state regulators and others have continued to investigate GPB Capital Holdings over allegations that it ran an up to $1.8B Ponzi scam, the alternative asset firm and its affiliated companies were able to secure between $3M and $7M in Paycheck Protection Program… [read post]
13 Jul 2020, 8:49 am
Commercial property damage insurance rarely covers smoke damage, especially in industrial or agricultural settings. [read post]
