Search for: "Financial Industry Regulatory Authority"
Results 4041 - 4060
of 11,228
Sort by Relevance
|
Sort by Date
16 Jul 2019, 11:31 am
The lender has an ACH debit authorization to pull the money from the borrower’s bank account on the due date. [read post]
16 Jul 2019, 10:18 am
Typically the second quarter is quieter than the first quarter from a compliance perspective, however we continue to see meaningful enforcement actions taken by regulatory authorities and rapid developments in the digital asset space. [read post]
15 Jul 2019, 3:17 pm
While acknowledging the challenges in applying the securities laws to digital assets, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA), in a joint statement on July 8, 2019, reaffirm that those rules equally apply to digital assets, and promise they will continue to engage the industry in finding solutions. [read post]
12 Jul 2019, 2:05 pm
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the Alberta Securities Commission, the Cyprus Securities and Exchange Commission, the Financial Conduct Authority of the United Kingdom, the Monetary Authority of Singapore, the Ontario Securities Commission, the Securities and Commodities Authority of the United Arab Emirates, the Securities and Futures Commission of Hong Kong, and the… [read post]
12 Jul 2019, 3:42 am
For the past decade, Arizona-based securities brokerage Scottsdale Capital Advisors has been in the cross-hairs of its regulator, the Financial Industry Regulatory Autho... [read post]
12 Jul 2019, 3:42 am
Making matters worse, one enterprising rep also downloaded customer info onto a portable hard drive.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, Van Allen, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which… [read post]
12 Jul 2019, 3:00 am
But with billions of dollars at stake, the powerful defense industry has helped the lobbying corps contain GOP defections. [read post]
11 Jul 2019, 9:51 pm
Current relief available to FFSPs ASIC previously offered two types of relief from holding an Australian financial services licence (AFSL) to FFSPs who provide financial services to wholesale clients in Australia: ‘sufficient equivalence relief’, provided under various class orders for certain FFSPs regulated by an overseas regulatory regime deemed sufficiently equivalent to Australia’s regulatory regime (Sufficient Equivalence Relief),… [read post]
11 Jul 2019, 2:23 pm
This spring, the same court applied the same test to find liability on a regulatory authority. [read post]
11 Jul 2019, 2:23 pm
This spring, the same court applied the same test to find liability on a regulatory authority. [read post]
11 Jul 2019, 2:23 pm
This spring, the same court applied the same test to find liability on a regulatory authority. [read post]
11 Jul 2019, 12:01 pm
On July 8, 2019, the Division of Trading and Markets of the Securities and Exchange Commission and the Financial Industry Regulatory Authority (together, the “Staffs”), issued a joint statement clarifying that entities participating in the marketplace for digital asset securities must comply with federal securities laws, particularly the Customer Protection Rule. [read post]
11 Jul 2019, 11:49 am
(The Dodd-Frank Act transferred authority to implement the EFTA from the Board to the Bureau.) [read post]
11 Jul 2019, 10:38 am
According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority (FINRA) has reportedly barred former Kestra financial advisor, Jeffrey Blutstein from associating with any FINRA member at any time. [read post]
11 Jul 2019, 8:56 am
For alleged supervisory failures and excessive trading by one of its former brokers, Summit Brokerage Services, Inc. has been ordered to pay over $880K– $558K in restitution with interest to customers that were harmed, as well as a $325K fine to the Financial Industry Regulatory Authority (FINRA). [read post]
10 Jul 2019, 3:33 pm
Stamer has been extensively involved in U.S. federal, state and local health care and other legislative and regulatory reform impacting these concerns throughout her career. [read post]
10 Jul 2019, 4:52 am
The Financial Industry Regulatory Authority (FINRA) barred Former LPL broker Jason Nelson following allegations that he made misrepresentations about customer information related to the sale of annuities. [read post]
9 Jul 2019, 2:41 pm
In the UK financial services industry, the Financial Conduct Authority (FCA) introduced a regulatory sandbox in 2015. [read post]
9 Jul 2019, 9:48 am
A Financial Industry Regulatory Authority (FINRA) panel is ordering Legend Securities, CEO Anthony Fusco, and three of the firm’s former brokers to pay one investor $966,708 in damages. [read post]
8 Jul 2019, 10:25 am
On December 30, 2017, Lax & Neville LLP commenced a Financial Industry Regulatory Authority (“FINRA”) arbitration claim on the Receiver’s behalf against Interactive Brokers and Kevin Michael Fischer, who is the head of Interactive Brokers LLC’s block trading desk. [read post]
