Search for: "Financial Industry Regulatory Authority"
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8 Jan 2024, 2:45 am
In summary, defendant alleges that it retained plaintiff to obtain approval for a reverse merger and ticker symbol change from the Financial Industry Regulatory Authority (“FINRA”). [read post]
6 Jan 2024, 7:48 am
This period was marked by significant mergers, acquisitions, and investments, reflecting the industry’s dynamic nature. [read post]
5 Jan 2024, 1:14 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
5 Jan 2024, 12:16 pm
FINRA Rule 2330 Members’ Responsibilities Regarding Deferred Variable Annuities FINRA, or the Financial Industry Regulatory Authority, is the self-regulator that supervises brokerage firms and enforcing rules associated with securities trading. [read post]
5 Jan 2024, 5:45 am
In summary, defendant alleges that it retained plaintiff to obtain approval for a reverse merger and ticker symbol change from the Financial Industry Regulatory Authority (“FINRA”). [read post]
4 Jan 2024, 12:10 pm
Bovee allegedly failed to provide the requested documents in an investigation by the Financial Industry Regulatory Authority Inc. [read post]
4 Jan 2024, 10:56 am
” Petrone allegedly failed to provide the requested documents in an investigation by the Financial Industry Regulatory Authority Inc. [read post]
3 Jan 2024, 9:03 pm
Feedback from local authorities has highlighted overstretched financial resources and difficulty in recruiting and retaining competent officers. [read post]
3 Jan 2024, 4:16 pm
The report follows recent regulatory initiatives, such as the 5th U.S. [read post]
3 Jan 2024, 7:59 am
” Those authors and contributors who have a background in energy issues are a ‘who’s who’ of oil and gas industry apologists. [read post]
2 Jan 2024, 1:10 pm
Community Reinvestment Act and Financial Inclusion Review this practice note providing a comprehensive overview of legal, regulatory, and supervisory examination requirements for commercial banks and savings associations under the CRA. [read post]
2 Jan 2024, 1:04 pm
The 2018 AWC For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and withou... [read post]
2 Jan 2024, 12:56 pm
But while the aggressive regulatory action may have helped the banking industry to dodge a contagion event, it did not necessarily remedy the underlying concerns for many banks. [read post]
2 Jan 2024, 11:26 am
FINRA (Financial Industry Regulatory Authority) plays a critical role in ensuring the integrity of America’s financial system – all at no cost to taxpayers. [read post]
2 Jan 2024, 10:01 am
LPL Financial LLC , 91 Cal. [read post]
1 Jan 2024, 6:19 am
Despite the strict stance on digital asset transactions, the industry is also showing signs of maturation. [read post]
28 Dec 2023, 9:05 pm
In lieu of our regular Friday feature—”the Week in Review”—The Regulatory Review is today recapping some of the top regulatory news from the past year, including major U.S. [read post]
27 Dec 2023, 6:09 pm
July 2018 – The Financial Industry Regulatory Authority (FINRA) reportedly barred former Independent Financial Group advisor Kyusun “Kenny” Kim from working in the securities industry after he allegedly made unsuitable recommendations to numerous senior customers that they concentrate their retirement assets and liquid net worth in speculative and illiquid securities. [read post]
27 Dec 2023, 2:02 pm
Louis Goff allegedly failed to provide the requested documents in an investigation by the Financial Industry Regulatory Authority Inc. [read post]
27 Dec 2023, 11:21 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
