Search for: "Financial Industry Regulatory Authority"
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27 Mar 2020, 4:00 pm
The US financial regulatory, consumer protection and enforcement supervisors are regularly issuing press releases and statements concerning the COVID-19 pandemic. [read post]
27 Mar 2020, 8:36 am
Financial Security for Inactive Wells with Future Utility: Conservation stated that in addition to the standard one-year window in which to obtain financial security, it will consider the current industry crisis as sufficient cause for an extension and will grant a request for an extension by any operator. [read post]
27 Mar 2020, 8:36 am
Financial Security for Inactive Wells with Future Utility: Conservation stated that in addition to the standard one-year window in which to obtain financial security, it will consider the current industry crisis as sufficient cause for an extension and will grant a request for an extension by any operator. [read post]
27 Mar 2020, 8:27 am
Essential Businesses and Operations include insurance (Financial services) and are exempt from the restrictions. [read post]
26 Mar 2020, 8:22 am
Insurance is part of the Critical Sectors (Financial Services) described by the Order. [read post]
26 Mar 2020, 6:02 am
On 25 March 2020, the European Banking Authority (EBA) issued the following statements related to the COVID-19 pandemic: Statement on the application of the prudential framework regarding default, forbearance and IFRS9 in light of COVID-19 measures. [read post]
25 Mar 2020, 12:27 pm
According to public records on the Financial Industry Regulatory Authority’s website, on March 23, 2020, the regulator reportedly barred Vietor from associating with any FINRA member firm at any time. [read post]
25 Mar 2020, 11:55 am
Regulatory authorities are working to provide relief on reporting deadlines and scope. [read post]
25 Mar 2020, 11:55 am
Regulatory authorities are working to provide relief on reporting deadlines and scope. [read post]
25 Mar 2020, 7:26 am
The FDIC hopes this streamlined process will not only improve the participation rates, but also result in more detailed data that will be meaningful for the whole financial services industry. [read post]
25 Mar 2020, 7:04 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Roger Owens (Owens) appears to be an agent for Woodbridge fraudulent note sales. [read post]
25 Mar 2020, 7:03 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
25 Mar 2020, 5:18 am
He was recently barred by the Financial Industry Regulatory Authority (FINRA). [read post]
24 Mar 2020, 6:35 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
24 Mar 2020, 6:35 am
According to BrokerCheck records, Cahill is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Janney Montgomery Scott LLC (Janney). [read post]
23 Mar 2020, 9:27 am
Unfortunately for investors it appears that many financial advisors/brokerage firms that sold non-traded REITs such as Hines Global REIT, may have understated or misrepresented the Recovery of Investment Losses 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]
23 Mar 2020, 7:28 am
FINRA ADMITS CORONA VIRUS MIGHT AFFECT OVERSIGHT OF TRADERSBrokerage firms all across the US are getting a break from their principal regulator as the spreading Covid-19 pandemic has been causing significant headaches across Wall Street.On Monday, The Financial Industry Regulatory Authority (FINRA) said that it would give firms greater flexibility in administering agents working remotely and in migrating staff to transitory areas. [read post]
23 Mar 2020, 7:11 am
”“The market volatility enhances the prospect of even more arbitration cases than a pure down market,” said Mr Friedman, a preceding director of arbitration at the Financial Industry Regulatory Authority Inc.It might take some time for arbitration traffic to rise. [read post]
23 Mar 2020, 6:56 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Carl Antaki (Antaki), currently associated with Network 1 Financial Securities Inc. [read post]
21 Mar 2020, 4:48 am
None of the named plaintiffs were infected by the COVID-19 but they suffered financial loss due to the outbreak. [read post]
