Search for: "Financial Industry Regulatory Authority"
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18 Mar 2021, 10:34 am
The Financial Industry Regulatory Authority (FINRA) reportedly suspended Krohn for three months in May 2018 after he reportedly engaged in outside business activities and purportedly “made personal purchases totaling $7.9 million of private securities away from his member firm without notifying it about those activities or purchases,” according to his broker profile. [read post]
29 Nov 2022, 7:59 am
FINRA Sanctions FFEC Wealth Partners for Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined FFEC Wealth Partners LLC (formerly, First Financial Equity Corporation) (CRD No. 16507) for supervisory failures. [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]
20 Jan 2015, 2:03 pm
The level of regulatory scrutiny an organization receives may depend on its role in and impact on market-wide cybersecurity, meaning the bulk of security audits will probably target high-risk industries and businesses like FMIs. [read post]
26 Mar 2015, 7:12 am
Earlier this month the UK’s financial services regulator, the Financial Conduct Authority (FCA), issued its final guidance on financial promotions made via social media channels. [read post]
30 Mar 2020, 2:14 pm
Section 4012 – Temporary Relief For Community Banks Section 4012 of the CARES Act provides temporary relief to financial institutions that elected to be subject to the Community Bank Leverage Ratio pursuant to the Economic Growth, Regulatory Relief, and Consumer Protection Act (EGRRCPA). [read post]
5 Mar 2013, 8:34 am
The Financial Industry Regulatory Authority ("FINRA") requires brokers only to "know your customers" and make suitable recommendations. [read post]
3 Mar 2008, 6:22 am
The apparent conflict of interest of China's regulatory authority compounds these issues. [read post]
17 Nov 2011, 8:06 am
The Financial Industry Regulatory Authority (FINRA) issued a regulatory notice this month that contained the results of a survey of retail broker-dealer firms regarding the use and oversight of senior designations in an effort to better understand their approach to a vulnerable segment of the population. [read post]
17 Nov 2011, 8:06 am
The Financial Industry Regulatory Authority (FINRA) issued a regulatory notice this month that contained the results of a survey of retail broker-dealer firms regarding the use and oversight of senior designations in an effort to better understand their approach to a vulnerable segment of the population. [read post]
15 Jun 2018, 12:04 pm
The ICI’s request pointed out that other regulatory and advocacy organizations, such as the Financial Industry Regulatory Authority and the North American Securities Administrators Association, have taken measures to help ensure that the financial institutions they regulate will be protected from enforcement action if they take reasonable steps to prevent financial exploitation of seniors and other vulnerable adults. [read post]
9 Sep 2022, 7:31 am
Moreover, the Financial Industry Regulatory Authority promulgates rules designed to protect investors—particularly those who are elderly or vulnerable—from being taken advantage of by advisors who borrow money on unfair terms or who borrow money without the intent or ability to ever repay. [read post]
24 Feb 2009, 2:21 am
On 9 February 2009, the Financial Services Authority (FSA) published its Business Plan for the financial year 1 April 2009 to 30 March 2010 which addresses the risks highlighted in the Financial Risk Outlook released on the same day.Hector Sants, the chief executive of the FSA, reported that the coming financial year would be one of "unprecedented challenges" for the financial services industry. [read post]
28 Aug 2020, 4:00 am
Peter Douglas Monson of Blaine, Minnesota submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he allegedly exercised discretion and engaged in excessive and unsuitable trading in violation of NASD Conduct Rule 2510(b) and FINRA Rules 2111 and 2010. [read post]
11 Apr 2011, 3:21 pm
In a letter to the Financial Stability Oversight Council, which Treasury chairs, Chairman Bachus said that any Volcker Rule regulations adopted by US financial regulators must be set against the international regulatory framework so as not to foster regulatory arbitrage. [read post]
17 May 2021, 9:03 am
You may have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover damages. [read post]
5 May 2021, 7:06 am
On April 29, Chinese regulators from the China Banking Regulatory Commission, China Securities Regulatory Commission, and State Administration of Foreign Exchange announced that they have ordered 13 of China’s biggest tech companies, including Tencent and ByteDance, to “standardize” their online financial businesses. [read post]
15 Jan 2014, 12:11 am
The global financial services industry is still reeling from the regulatory investigations surrounding the Libor scandal. [read post]
Former Commonwealth Financial Advisor Gerald Eaton Barred for Conversion of $3.7 M in Customer Fraud
1 Oct 2020, 3:24 am
Former financial advisor Gerald Eaton has been allegedly barred for fraudulently facilitating distributions from his clients’ accounts without their knowledge or consent, according to publicly released records by the Financial Industry Regulatory Authority (FINRA). [read post]
Former Commonwealth Financial Advisor Gerald Eaton Barred for Conversion of $3.7 M in Customer Fraud
1 Oct 2020, 3:24 am
Former financial advisor Gerald Eaton has been allegedly barred for fraudulently facilitating distributions from his clients’ accounts without their knowledge or consent, according to publicly released records by the Financial Industry Regulatory Authority (FINRA). [read post]
