Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
Results 401 - 420
of 3,180
Sort by Relevance
|
Sort by Date
4 Jul 2022, 9:05 pm
Concluding that the EPA had claimed to discover “an unheralded power” to effect a “nationwide transition away from the use of coal to generate electricity,” it ruled in a 6-3 decision, authored by the Chief Justice, that: “[I]t is not plausible that Congress gave the EPA the authority to adopt on its own such a regulatory scheme in Section 111(d)” of the Clean Air Act.[18] Chief Justice Roberts’ decision, while greatly… [read post]
3 Jul 2022, 8:00 am
Although not a respondent in the Financial Industry Regulatory Authority (FINRA) arbitration claim, Korsch allegedly unsuitably recommended this risky life settlement-backed bond to the customer. [read post]
30 Jun 2022, 4:02 pm
Solutions Law Press, Inc. invites you receive future updates by registering on our Solutions Law Press, Inc. [read post]
28 Jun 2022, 7:00 am
Although this is the SEC’s first legal action regarding Reg BI, the Financial Industry Regulatory Authority issued a report of its examination findings and risk monitoring guidance in February of this year, explaining in detail the types of deficiencies relating to Reg BI that its examiners were observing in their examinations of broker-dealers. [read post]
28 Jun 2022, 5:26 am
The Financial Industry Regulatory Authority (FINRA) regulates securities brokers and brokerage firms, and FINRA arbitration provides a streamlined forum for defrauded investors to pursue claims for recovery. [read post]
27 Jun 2022, 5:36 am
For example, in Relentless Inc. v. [read post]
24 Jun 2022, 9:58 am
Britain Plans to Regulate ‘Buy Now, Pay Later’ LendersReuters – June 20, 2022 Britain plans to make “buy now, pay later” (BNPL) companies carry out affordability checks, gain approval by the Financial Conduct Authority (FCA) and ensure adverts are fair and clear, the government said on Monday, in measures to regulate the sector. [read post]
24 Jun 2022, 7:23 am
Britain Plans to Regulate ‘Buy Now, Pay Later’ LendersReuters – June 20, 2022 Britain plans to make “buy now, pay later” (BNPL) companies carry out affordability checks, gain approval by the Financial Conduct Authority (FCA) and ensure adverts are fair and clear, the government said on Monday, in measures to regulate the sector. [read post]
19 Jun 2022, 7:17 pm
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]
16 Jun 2022, 9:05 pm
Second, we present evidence on public-company disclosures consistent with issuers’ understanding that the SEC has long had authority to take regulatory action in this area. [read post]
16 Jun 2022, 2:07 pm
The following are the key federal broker-dealer statutes that an issuer (or company) using an unregistered finder should be aware of: Section 15(a)(1) of the Securities Exchange Act of 1934 (Exchange Act) prohibits anyone from “effecting a transaction in securities” or “attempt to induce the purchase or sale of any security” unless they are registered as a broker or dealer under the Financial Industry Regulatory Authority,… [read post]
15 Jun 2022, 1:34 pm
FINRA Bars Anthony “Tony” Liddle after he Failed to Provide Information in its Investigation According to a Letter of Acceptance Waiver and Consent on June 14, the Financial Industry Regulatory Authority (FINRA) has barred Anthony “Tony” Liddle (CRD#: 5478479) from associating with any FINRA member at any time after Liddle reportedly refused to provided information in its investigation. [read post]
14 Jun 2022, 8:06 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the Federal Bureau of Investigation, and the U.S. [read post]
8 Jun 2022, 9:01 pm
Right now, while the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) have rules on best execution, the SEC does not.[12] These FINRA and MSRB rules require broker-dealers to exercise reasonable diligence to execute customer orders in the best market so that their customers receive the most favorable prices under prevailing market conditions. [read post]
6 Jun 2022, 7:06 am
Exporters must pay attention to changes in the regulatory framework and seek guidance from BIS if they do not understand new rules. [read post]
6 Jun 2022, 6:53 am
* The author would like to thank Summer Associate Melanie N. [read post]
3 Jun 2022, 6:49 am
Analysts expect the regulatory environment to be less stringent and more friendly to the tech sector in 2022. [read post]
1 Jun 2022, 9:16 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
24 May 2022, 7:45 am
FINRA Reportedly Bars Barbara Bernatzky after Customer Alleges Misappropriation According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority has barred Barbara Ann Bernatzky (also known as Barbara Bertnatzky, CRD #2535421) from the securities industry after she reportedly refused to appear for on the record testimony during a FINRA investigation. [read post]
20 May 2022, 6:29 pm
Stamer helps health industry and other organizations and their management manage. [read post]
