Search for: "Financial Industry Regulatory Authority"
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1 Sep 2017, 6:48 am
Banks should maintain controls for outsourced services to the same standard as the operations conducted within the bank itself; bank supervisors should cooperate with other public authorities responsible for oversight of regulatory functions related to Fintech, such as conduct authorities, data protection authorities, competition authorities and financial intelligence units, with the objective of, where appropriate, developing standards and… [read post]
14 May 2020, 5:31 am
Financial Industry Regulatory Authority, Inc. [read post]
14 May 2020, 5:31 am
Financial Industry Regulatory Authority, Inc. [read post]
29 Dec 2016, 9:30 pm
Every Friday, RegBlog publishes a roundup of the week’s top regulatory news. [read post]
6 Oct 2014, 3:10 am
" 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, Angela M. [read post]
24 Sep 2015, 10:23 am
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, Matthew P. [read post]
15 Aug 2016, 4:12 am
Case In Point For 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]
1 Apr 2016, 9:33 am
" An updated regulatory version of that classic was recently performed by the Financial Industry Regulatory Authority, Raymond James, and probably Wells Fargo. [read post]
11 Nov 2019, 4:36 am
Daniel Gordon Maughan, a former broker and registered investment adviser, was barred by the Financial Industry Regulatory Authority (FINRA) on the allegations of churning and excessive trading of a customer’s trust account, which was in violation of Section 10(b) of the Exchange Act and FINRA Rule 2020, according to an investigation by investor rights attorney, Alan Rosca. [read post]
11 Nov 2019, 4:36 am
Daniel Gordon Maughan, a former broker and registered investment adviser, was barred by the Financial Industry Regulatory Authority (FINRA) on the allegations of churning and excessive trading of a customer’s trust account, which was in violation of Section 10(b) of the Exchange Act and FINRA Rule 2020, according to an investigation by investor rights attorney, Alan Rosca. [read post]
7 Aug 2013, 5:00 am
The authors track the evolution from the early days of email to today. [read post]
7 Aug 2013, 5:00 am
The authors track the evolution from the early days of email to today. [read post]
9 Feb 2015, 8:43 am
This article continues our prior post concerning The Financial Industry Regulatory Authority (FINRA) recent sanctions of brokerage firm WFG Investments, Inc. [read post]
27 Oct 2014, 5:59 am
The Financial Industry Regulatory Authority (FINRA) brought a complaint against broker Toni Chen (Chen) concerning allegations that during the course of FINRA’s investigation into whether Chen was involved in a pyramid scheme that may also constitute “selling away” activities. [read post]
12 Jun 2009, 1:21 pm
FINRA, which stands for Financial Industry Regulatory Authority, was created in 2007 by the merger of the NASD (National Association of Securities Dealers) and the self-regulating entities of the New York Stock Exchange to provide uniform standards for self-regulation of the securities industry, including an online background database called BrokerCheck. [read post]
19 Feb 2021, 8:33 am
Fahsholtz’s FINRA BrokerCheck Report, published by the Financial Industry Regulatory Authority (“FINRA”) indicates that he is the subject of five pending securities arbitration claims, and that three other disputes lodged against Fahsholtz have been settled. [read post]
4 Apr 2013, 6:48 pm
The D-F Protocol is the first of such protocols, and it facilitates industry compliance with seven final rulemakings. [read post]
5 Mar 2019, 9:56 am
The visit took place a few months after both the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (Finra) launched separate probes into the firm, which claims to have raised $1.8B from accredited, high net worth investors via private placement funds invested in waste management and car dealerships. [read post]
22 May 2010, 8:40 pm
Britain is home to 80 percent of European hedge-fund and 60 percent of private-equity managers, according to a report last year from the Financial Services Authority. [read post]
4 Dec 2018, 1:55 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Bloom concern allegations of unsuitable investments. [read post]
