Search for: "SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION"
Results 21 - 40
of 4,084
Sorted by Relevance
|
Sort by Date
14 Nov 2017, 3:37 pm
Lowi consented to being barred from the securities industry. [read post]
19 Jul 2009, 9:00 am
The Securities Industry and Financial Markets Association (SIFMA) said that the proposed uniform set of regulatory standards is designed to strengthen safeguards for investors. [read post]
3 Dec 2011, 8:46 am
The new position limits, adopted October 18, cover both agricultural and formerly exempt commodities.The Securities Industry and Financial Markets Association (SIFMA) and International Swaps and Derivatives Association (ISDA) filed a Petition for Review in the U.S. [read post]
11 Dec 2018, 6:01 am
On 7 December 2018, several industry associations (the International Swaps and Derivatives Association, the Futures Industry Association, the Association for Financial Markets in Europe and the International Capital Markets Association) published a letter that they had jointly sent to Commissioner Valdis Dombrovskis (Vice-president for the Euro and Social Dialogue, Financial Stability,… [read post]
1 Feb 2021, 8:01 am
The State of New Jersey Bureau of Securities suspended financial advisor Roy Joseph Failla from the securities industry for 45-days and fined him $15,000. [read post]
30 May 2012, 3:03 pm
No. 11-166.The hedge fund, securities and banking industries, along with other financial trade associations, earlier filed an amicus brief in the US Supreme Court arguing that the federal bankruptcy code does not allow a debtor to bar secured lenders from credit bidding to protect themselves against the potential undervaluation of their collateral in bankruptcy. [read post]
16 Oct 2011, 8:58 pm
The Securities Industry and Financial Markets Association is recommending a number of best practices for financial firms that work with Expert Networks and their Consultants. [read post]
6 Oct 2009, 12:33 pm
JOHN TAFT testified today on behalf of SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION before U.S. [read post]
7 Jan 2020, 9:19 am
James Thomas Booth Of LPL Financial Barred From Securities Industry For Operating Ponzi Scheme James Thomas Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or… [read post]
9 May 2016, 10:30 am
(FINRA Jobs, via SimplyHired.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; Job Posting; FINRA Ombuds Publishes 2014 Report. [read post]
19 Mar 2012, 12:35 pm
In a letter to the SEC and other federal financial regulators crafting regulations implementing the Dodd-Frank Volcker Rule provisions, the Investment Industry Association of Canada said that the Volcker Rule also runs counter to G20 and Financial Stability Board objectives for coordinated policymaking across jurisdictions. [read post]
3 Oct 2009, 10:02 am
(Editor's Note: The post below by Commissioner Troy Paredes is a transcript of his remarks at the Securities Industry and Financial Markets Association’s 14th Annual Fixed Income Legal and Compliance Conference, omitting introductory and conclusory remarks; the complete transcript is available here. [read post]
27 Oct 2021, 8:55 pm
The AFME is the European member of the Global Financial Markets Association (GFMA) a global alliance with the Securities Industry and Financial Markets Association (SIFMA) in the US, and the Asia Securities Industry and Financial Markets Association (ASIFMA) in Asia. [read post]
9 Feb 2022, 7:43 am
The company may redeem fewer shares due to lack of readily available funds because of adverse market conditions or other reasons. [read post]
8 Mar 2010, 9:54 am
The letter was signed by the American Bankers Association, the Securities Industry and Financial Markets Association, and the Financial Services Roundtable.While recognizing that the primary responsibility of the Fed is monetary policy, the industry groups said that it would be a mistake to limit the Federal Reserve to regulation of only large, complex institutions headquartered in major financial centers. [read post]
6 Dec 2011, 12:12 pm
The letter was signed by the American Bankers Association, SIFMA, and the Financial Services Roundtable. [read post]
6 Dec 2021, 3:00 am
The Securities Industry & Financial Markets Association, working with the Investment Company Institute, The Depository Trusty & Clearing Corporation and Deloitte, led the working group. [read post]
12 Jan 2013, 11:47 am
The securities industry is pleased that the Consumer Financial Protection Bureau regulations implementing Dodd-Frank Act requirements that mortgage lenders consider consumers’ ability to repay home loans before extending them credit contains a true legal safe harbor for mortgages that fall within the scope of the qualified mortgage definition. [read post]
9 Aug 2018, 2:05 pm
Securities Fraud Investigation – Bradley Reifler – Forefront Capital Markets – New York, NY According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former financial advisor Bradley Reifler from the securities industry. [read post]
30 Jul 2007, 9:29 am
Citing figures released last week by the Securities Industry and Financial Markets [...] [read post]
