Search for: "Financial Industry Regulatory Authority"
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14 Aug 2019, 6:00 am
Financial statements: Now under the purview of NI 81-106, alternative mutual funds must include in their interim financial reports and annual financial statements disclosure related to their actual use of leverage over the reference period of the financial statements. [read post]
14 Aug 2019, 4:34 am
Legal and Regulatory Developments SPOTLIGHT: UK’s Financial Conduct Authority to Delay PSD2’s SCA, FT ReportsThe Paypers – August 8, 2019 The UK’s Financial Conduct Authority is set to delay enforcement of PSD2’s SCA by more than 18 months, after warnings that the rules would threat online sales. [read post]
13 Aug 2019, 1:28 pm
The genetic testing industry received a further boost with the enactment of the Affordable Care Act (ACA). [read post]
13 Aug 2019, 6:33 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]
12 Aug 2019, 12:29 pm
The 30 have joined together to file a claim with a Financial Industry Regulatory Authority (FINRA) arbitration panel charging that their brokers tried to line their pockets with high commissions from high-risk securities instead of following the investors’ directions to put their money in low-risk assets. [read post]
12 Aug 2019, 11:02 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]
12 Aug 2019, 7:50 am
You could still leave the door open to cyber thieves if you simply close or minimize your browser or type in a new Web address when you’re done using your online brokerage account, warns the broker self-regulatory body, the Financial Industry Regulatory Authority (FINRA). [read post]
9 Aug 2019, 11:47 am
In the Matter of Seven Points Capital, LLC, Respondent (FINRA AWC 2015043490102) http://www.finra.org/sites/default/files/fda_documents/2015043490102%20Seven%20Points%20Capital%2C%20LLC%20CRD%20144211%20AWC%20va.pdfFor 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… [read post]
9 Aug 2019, 7:41 am
We think the FTC is still the right agency to lead the US privacy regulatory effort. [read post]
8 Aug 2019, 9:05 pm
Regulators from ten states and Puerto Rico launched an investigation of the payroll cash advance industry. [read post]
8 Aug 2019, 10:57 am
Locke Lord’s Regulatory and Transactional Insurance Practice Group has teamed with Novarica, a leading insurance industry technology research, advisory services and consulting firm, to address the impact of evolving insurance regulation on information technology systems of insurance and reinsurance companies. [read post]
8 Aug 2019, 7:25 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]
8 Aug 2019, 7:01 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]
8 Aug 2019, 6:48 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]
5 Aug 2019, 2:01 pm
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]
5 Aug 2019, 10:38 am
The private placement issuer is under investigation by the Financial Industry Regulatory Authority (FINRA), the US Securities and Exchange Commission (SEC), the Federal Bureau of Investigation (FBI), and New Jersey and Massachusetts regulators, with the latter, Secretary of the Commonwealth William Galvin, investigating more than six dozen brokerage firms that sold GPB private placements to investors. [read post]
5 Aug 2019, 9:05 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Volpe from associating with any FINRA member at any time after he allegedly failed to provide information in its investigation. [read post]
5 Aug 2019, 8:23 am
The emergency rules are not the final version of the regulatory rules for the recreational marijuana industry. [read post]
5 Aug 2019, 8:23 am
The emergency rules are not the final version of the regulatory rules for the recreational marijuana industry. [read post]
4 Aug 2019, 10:59 pm
CPS 511 is intended to address recommendations 5.1 to 5.3 from the Final Report of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry. [read post]
