Search for: "Financial Industry Regulatory Authority"
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13 Jun 2024, 10:08 am
Strengthen your financial controls and oversight. [read post]
12 Jun 2024, 9:01 pm
For example, the ICO’s work as part of the Digital Regulation Cooperation Forum (DRCF) brings together the ICO, the Competition and Markets Authority (CMA), Ofcom (the UK’s communications regulator) and the Financial Conduct Authority (FCA). [read post]
12 Jun 2024, 1:41 pm
FINRA Bars Gino Rahman, Merrill Lynch Broker, after Allegations According to public records, the Financial Industry Regulatory Authority has barred former advisor Imdadur Rahman (CRD No. 2476187) also known as Gino Rahman from working in the securities industry on June 10, 2024. [read post]
12 Jun 2024, 10:05 am
In a PPP, the public sector typically provides regulatory support, land, or financial incentives, while the private sector brings in capital, expertise, and efficiency. [read post]
11 Jun 2024, 9:05 pm
Aamir argues that policymakers must determine a common source of legal authority to overcome the non-physical nature of the metaverse. [read post]
11 Jun 2024, 12:29 pm
Longtime broker-dealer, Oppenheimer & Co, Inc. found themselves in hot water with the Financial Industry Regulatory Authority, once again. [read post]
11 Jun 2024, 6:00 am
Federal banking agencies, such as the Consumer Finance Protection Bureau, have broad supervisory and enforcement authority over financial technology companies (FinTech), and are increasingly exercising such supervision and enforcement authority. [read post]
8 Jun 2024, 9:03 pm
About the author: David Isaacson is Vice President of Product Marketing at ETQ. [read post]
7 Jun 2024, 12:26 pm
The two primary options available are class action lawsuits and individual FINRA (Financial Industry Regulatory Authority) arbitration cases. [read post]
7 Jun 2024, 7:05 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
6 Jun 2024, 12:53 am
While bankruptcy itself does not automatically result in the loss or suspension of a professional license, licensing boards and regulatory agencies may have specific requirements or guidelines regarding financial responsibility and disclosure. [read post]
5 Jun 2024, 3:38 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
5 Jun 2024, 1:45 pm
June 2019 – The Financial Industry Regulatory Authority (FINRA) reportedly sanctioned Crown Capital Securities LP with a censure and fine of $75,000 after it failed to establish and maintain a supervisory system, to monitor mutual fund switches.The firm reportedly failed to reasonably supervise short-term switches of Class A mutual fund shares conducted by two firm registered representatives. [read post]
5 Jun 2024, 10:52 am
As a registered broker-dealer, David Lerner Associates falls under the regulatory purview of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). [read post]
4 Jun 2024, 5:44 am
(June 2024) Rosca Scarlato is pleased to announce that the Financial Industry Regulatory Authority’s Board of Governors has appointed Hugh Berkson, Of Counsel to Rosca Scarlato, to serve a three-year term on FINRA’s National Arbitration and Mediation Committee (NAMC).The NAMC is responsible for making recommendations to FINRA regarding the recruitment, qualification, training, and evaluation of arbitrators and mediators. [read post]
4 Jun 2024, 5:44 am
(June 2024) Rosca Scarlato is pleased to announce that the Financial Industry Regulatory Authority’s Board of Governors has appointed Hugh Berkson, Of Counsel to Rosca Scarlato, to serve a three-year term on FINRA’s National Arbitration and Mediation Committee (NAMC).The NAMC is responsible for making recommendations to FINRA regarding the recruitment, qualification, training, and evaluation of arbitrators and mediators. [read post]
4 Jun 2024, 5:44 am
(June 2024) Rosca Scarlato is pleased to announce that the Financial Industry Regulatory Authority’s Board of Governors has appointed Hugh Berkson, Of Counsel to Rosca Scarlato, to serve a three-year term on FINRA’s National Arbitration and Mediation Committee (NAMC).The NAMC is responsible for making recommendations to FINRA regarding the recruitment, qualification, training, and evaluation of arbitrators and mediators. [read post]
3 Jun 2024, 10:00 pm
Financial Regulatory Structure following the Dodd-Frank Act Explore this practice note to gain a comprehensive understanding of the Dodd-Frank Act and key changes that this Act made to the structure of the U.S. financial regulatory framework. [read post]
1 Jun 2024, 9:05 pm
In the U.K., the Financial Conduct Authority (FCA) took a test case to the Supreme Court in 2020 in order to get legal clarity on a representative sample of policy wordings. [read post]
31 May 2024, 11:49 am
Merrill Lynch, who self-reported the issue, reportedly signed separate consent orders with the Financial Industry Regulatory Authority (FINRA) and the New Hampshire Bureau of Securities Regulation. [read post]
