Search for: "Financial Industry Regulatory Authority"
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31 Jan 2017, 2:24 pm
The DFS Rule has been met with resistance from various sectors of the financial industry, whose lobbying arms argue that the rule creates conflicts with existing national cybersecurity regulations and best practices. [read post]
6 Nov 2014, 6:19 am
The Securities and Exchange Commission (SEC) approved a rule change proposed by the Financial Industry Regulatory Authority (FINRA) that will give investors greater insight into the costs of purchasing shares of non-traded real estate investment trusts (Non-Traded REITs). [read post]
8 Dec 2019, 2:18 pm
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
21 Oct 2014, 6:03 am
On March 24, 2014, LPL Financial was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise its brokers’ marketing of nontraditional investments. [read post]
27 Jul 2017, 4:10 pm
In a timely effort, the Financial Industry Regulatory Authority (“FINRA”) recently gathered top U.S. financial regulators and industry stakeholders to participate in its 2017 Blockchain Symposium. [read post]
27 Jul 2017, 4:10 pm
In a timely effort, the Financial Industry Regulatory Authority (“FINRA”) recently gathered top U.S. financial regulators and industry stakeholders to participate in its 2017 Blockchain Symposium. [read post]
14 May 2021, 8:50 am
The Financial Industry Regulatory Authority (FINRA) barred Clason in September 2020 right after the Securities and Exchange Commission (SEC) filed parallel charges against him. [read post]
30 Apr 2020, 6:20 am
According to his official record on the Financial Industry Regulatory Authority’s (“FINRA”) website, Kenska has seven “disclosures. [read post]
28 Nov 2018, 9:15 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former financial advisor Frank Dietrich. [read post]
15 Oct 2021, 6:54 am
FINRA Bars Worden Capital Management’s CEO after Failure to Provide Information in Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred the CEO of Worden Capital Management (CRD# 148366) on October 14, 2021, after allegations of failure to supervise, negligent supervision and churning, among others. [read post]
22 Aug 2012, 8:55 am
The Financial Industry Regulatory Authority ("FINRA") has issued Investor Alert: Public Non-Traded REITs - Perform a Careful Review Before Investing. [read post]
5 Jan 2019, 12:00 am
(Id.)The TSC Report also recommends that cryptoassets be regulated by the Financial Conduct Authority (the “FCA”) under the RAO, rather than building a new regulatory regime specifically for the cryptomarket (Id.) [read post]
1 Jun 2023, 12:58 pm
Recovery may be possible through an arbitration action with FINRA, the Financial Industry Regulatory Authority. [read post]
3 Mar 2014, 8:18 am
Spencer Bachus (R-AL), the Chairman Emeritus of the Financial Services Committee.Title IV. [read post]
5 Aug 2014, 6:17 am
The Financial Industry Regulatory Authority (FINRA) brought a complaint against brokerage firm Brookville Capital Partners, LLC (Brookville Capital) and its president Anthony Lodati (Lodati) concerning allegations that the respondents defrauded customers in connection with the sale of a private placement offering; made unsuitable recommendations to customers; and failed to establish, maintain or enforce a supervisory system reasonably designed to achieve… [read post]
26 Jul 2012, 11:58 am
Bachus's bill, if passed, would lead to the Financial Regulatory Authority (FINRA) becoming the SRO for investment advisers. [read post]
26 Jul 2012, 11:58 am
Bachus's bill, if passed, would lead to the Financial Regulatory Authority (FINRA) becoming the SRO for investment advisers. [read post]
1 Dec 2015, 6:08 am
NYDFS seeks input from a variety of stakeholders, including other regulatory agencies, prior to proposing final regulations for the financial industry. [read post]
20 May 2024, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) is an agency that regulates virtually all broker-dealers. [read post]
18 May 2017, 9:16 pm
To assistant registrants, the SEC highlights its Division of Investment Management’s recent cybersecurity guidance, and the webpage of the Financial Industry Regulatory Authority (FINRA), which has links to cybersecurity-related resources. [read post]
