Search for: "Financial Industry Regulatory Authority"
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20 Oct 2023, 6:00 am
Industry Developments SPOTLIGHT: Want a Discount? [read post]
19 Oct 2023, 11:55 am
LPL Financial LLC (2023) 91 Cal. [read post]
19 Oct 2023, 10:50 am
Understanding FINRA’s Settlement Agreement: Acceptance, Waiver, and Consent (AWC) FINRA, which stands for the Financial Industry Regulatory Authority, is a self-regulatory organization in the United States that plays a critical role in regulating the securities industry. [read post]
18 Oct 2023, 9:01 pm
Key Takeaways In light of the DIMA case and the focus by the SEC on climate and ESG-related issues, fund sponsors, companies, and financial institutions should consider the following key takeaways: Bold statements will draw regulatory attention. [read post]
18 Oct 2023, 7:36 pm
It becomes first a pathway for transmitting international standards onto the regulatory environment of administrative supervision without recourse of legislation (or than a general provision empowering the delegation of this regulatory and administrative projects to an un-elected bureaucracy. [read post]
18 Oct 2023, 7:43 am
Broker Embezzlement Statistics According to the Financial Industry Regulatory Authority (FINRA), in 2022 there were 11,180 complaints filed from investors. [read post]
17 Oct 2023, 9:33 pm
In contrast with the VALID Act, the VITAL Act would have prevented FDA from regulating LDTs and would have instead assigned regulatory authority over LDTs entirely to CMS. [read post]
17 Oct 2023, 9:05 pm
Carbon capture refers to the process of capturing and storing carbon emissions from sources such as power plants or industrial facilities. [read post]
17 Oct 2023, 12:39 pm
FINRA Bars James Pelletiere after Allegations of Misconduct According to public records, the Financial Industry Regulatory Authority (FINRA) has barred James Pelletiere (CRD#: 2628708) from associating with any FINRA member at any time as of October 4, 2023. [read post]
17 Oct 2023, 10:23 am
FINRA Bars Cambridge Broker Todd Lesk after Crypto Asset Offering Sales According to public documents, the Financial Industry Regulatory Authority (FINRA) has reportedly barred former broker Todd Lesk (CRD#: 2788300) from the securities industry. [read post]
16 Oct 2023, 2:21 pm
In the meantime, and separately, both the Financial Reporting Council (FRC) and the Financial Conduct Authority (FCA) have each also commenced their own investigations. [read post]
16 Oct 2023, 1:20 pm
The action also underscores the growing regulatory scrutiny of the crypto industry, and the ripple effects of how a violation in one seemingly discrete area of law can lead to multiple enforcement risks and consequences. [read post]
16 Oct 2023, 10:34 am
Prohibiting Time and Price Discretion – A Case Study of Dominic Joseph Carlo Introduction The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that oversees the conduct of broker-dealers and their associated persons. [read post]
16 Oct 2023, 7:37 am
This association has made the art market a prominent conduit for substantial financial transactions. [read post]
15 Oct 2023, 9:03 pm
Congress did so even though the Financial Industry Regulatory Authority (FINRA) already had been making some disclosures with regard to short sale transactions. [read post]
15 Oct 2023, 3:26 pm
You’ve advocated for policyholders in front of various legislatures and regulatory bodies. [read post]
14 Oct 2023, 6:32 am
Congress did so even though the Financial Industry Regulatory Authority (FINRA) already had been making some disclosures with regard to short sale transactions. [read post]
14 Oct 2023, 6:32 am
Congress did so even though the Financial Industry Regulatory Authority (FINRA) already had been making some disclosures with regard to short sale transactions. [read post]
13 Oct 2023, 2:01 pm
About the Author Alejandro E. [read post]
13 Oct 2023, 1:58 pm
Shivery not only has extensive experience with FCA qui tam cases, but she is also a former Senior Arbitration Administrator for the Financial Industry Regulatory Authority (FINRA) and spent time with the State of Hawaii Attorney General’s Office doing similar work. [read post]
