Search for: "Financial Industry Regulatory Authority"
Results 3961 - 3980
of 11,228
Sort by Relevance
|
Sort by Date
28 Aug 2019, 6:29 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
28 Aug 2019, 5:24 am
Swiss Regulator Releases AML, KYC Guidance for Blockchain PaymentsCointelegraph – August 26, 2019 Switzerland’s Financial Market Supervisory Authority (FINMA) has released guidance on regulatory requirements for payments on the blockchain under FINMA supervision. [read post]
28 Aug 2019, 5:18 am
Because 5G will remain a private-sector-led initiative in the United States, the government’s role is limited largely to debating regulatory issues. [read post]
27 Aug 2019, 10:39 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
23 Aug 2019, 12:22 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred Graetz from association with any FINRA member in all capacities after he reportedly failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in all capacities. [read post]
23 Aug 2019, 2:07 am
A recent FINRA regulatory settlement comes up short on a number of those aspects.Case In PointFor 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 without an adjudication of any issue, Jedediah Elvin Dahl, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), whic... [read post]
23 Aug 2019, 2:07 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
22 Aug 2019, 12:41 pm
Pica – Joseph Stone Capital, New York, NY On July 22, 2019 The Financial Industry Regulatory Authority (FINRA) reportedly made a preliminary determination to recommend that disciplinary action be brought against Erik Patrick Pica (Erik Pica), alleging that he violated FINRA rules by reportedly converting customer funds, and allegedly providing false or misleading information to Joseph Stone Capital, L.L.C. regarding the disposition of funds from a… [read post]
22 Aug 2019, 12:07 pm
The complaint alleged that Dotson violated Financial Industry Regulatory Authority (FINRA) Rules 8210 and 2010 when he refused to appear for on-the-record testimony in a FINRA investigation and consequently was barred from associating with any FINRA member at any time. [read post]
21 Aug 2019, 9:39 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
21 Aug 2019, 9:34 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
21 Aug 2019, 6:02 am
Financial Conduct Authority earlier this week conceded to growing demands from the industry and recommendations of the European Banking Authority to provide an additional 18-month delay of the mid-September SCA deadline, which would have required increased security for e-commerce transactions throughout the continent. . . . [read post]
20 Aug 2019, 3:29 pm
Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (known as “FINRA”), the FBI, the State of Massachusetts, and the New York Business Integrity Commission are investigating GPB Capital Holdings LLC (“GPB”) for financial misconduct. [read post]
20 Aug 2019, 10:52 am
This week the Financial Industry Regulatory Authority (FINRA), which oversees brokers fined Milwaukee based brokerage firm Robert W. [read post]
19 Aug 2019, 11:58 am
However, Section 7(r) excuses an employer of fewer than 50 employees from the obligation to comply with Section 7(r)) if the employer can demonstrate compliance would cause undue hardship by causing the employer significant difficulty or expense when considered in relation to the size, financial resources, nature, or structure of the employer’s business. [read post]
19 Aug 2019, 10:54 am
According to the Financial Industry Regulatory Authority, the regulator has reportedly permanently barred Gregory T. [read post]
19 Aug 2019, 10:43 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred Burns from association with any FINRA member in all capacities after he reportedly failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in all capacities. [read post]
19 Aug 2019, 7:42 am
The disturbances in Hong Kong have been treated by Chinese government and CCP authorities as directly challenging not so much their authority, but rather the authority of their guiding ideology. [read post]
18 Aug 2019, 8:07 am
Brokerage Industry Disciplinary Action Report: July 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
16 Aug 2019, 1:09 pm
According to the Financial Industry Regulatory Authority, the regulator has reportedly permanently barred Gregory T. [read post]
