Search for: "Financial Industry Regulatory Authority"
Results 5301 - 5320
of 11,230
Sorted by Relevance
|
Sort by Date
29 Jan 2020, 9:26 am
Now the FIO publishes an annual report on the insurance industry, which highlights market developments, emerging issues and legal and regulatory changes. [read post]
15 May 2015, 5:34 pm
According to his publicly available Financial Industry Regulatory Authority (FINRA) CRD report, Mr. [read post]
10 Sep 2009, 6:14 am
In the wake of the financial crisis, there has been no shortage of approaches to regulatory reform, both here in Germany and globally. [read post]
29 Jan 2018, 5:00 am
By John Filar Atwood In a comment letter to the European Commission (EC), the Futures Industry Association. [read post]
2 Aug 2021, 10:37 am
FINRA bars Former CFD Advisor Dana Vietor after Allegations of Unapproved Securities Sales On March 23, 2020, The Financial Industry Regulatory Authority (FINRA) reportedly found that Vietor allegedly engaged in $3 million in sales of promissory notes to customers without disclosing and receiving approval from his member firms for each alleged private securities transaction. [read post]
30 Dec 2014, 6:17 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) and barring former Center Street Securities, Inc. [read post]
16 Jan 2015, 6:16 am
Enter the recent fine imposed by The Financial Industry Regulatory Authority (FINRA) that 10 of the largest brokerage firms were fined a total of $43.5 million for allowing their equity research analysts to solicit investment banking business by offering favorable research coverage in connection with the 2010 planned initial public offering of Toys “R” Us. [read post]
6 Mar 2010, 6:00 am
The Financial Industry Regulatory Authority (FINRA), Wall Street's governing and enforcement body, defines financial elder abuse as the "misuse of an older adult's money or belongings by a relative or person in a position of trust. [read post]
31 Aug 2020, 9:30 am
We will carefully monitor this dispute and FTC investigation, as any investigation has the potential to shine a light into how modern data collection practices fit into the currency legal and regulatory regimes and how the industry might respond. [read post]
12 Sep 2023, 2:00 am
FinTech M&A Potential Pitfalls and Regulatory Aspects Learn about the regulatory considerations in financial technology mergers and acquisitions. [read post]
19 Mar 2009, 12:48 pm
The Financial Industry Regulatory Authority (FINRA) is the largest self-regulatory organization, i.e., non-governmental regulator, for all securities firms doing business in the United States. [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]
29 Dec 2007, 11:32 am
In addition, civil money penalties will be made more effective against market misconduct; and market surveillance will be enhanced.As part of a better regulation initiative, the FSA will improve the regulatory environment by engaging in an intensive dialogue and sharing of principles with the financial services industry. [read post]
2 Apr 2020, 4:14 pm
These mandates infused and informed the relief provided across the financial industry landscape by the SEC, the CFTC and other regulatory bodies. [read post]
30 Jun 2020, 7:48 am
According to the Financial Industry Regulatory Authority ( FINRA), Angelo Talebi was previously suspended from the securities industry and fined $10,000 for allegedly executing transactions in a customer’s online account. [read post]
5 Feb 2010, 6:05 am
The Committee on Capital Markets Regulation dealt with these issues in its May 2009 Report titled The Global Financial Crisis: A Plan for Regulatory Reform. [read post]
1 Apr 2021, 7:32 am
According to the article, these offenders were gathered from news articles, from the Financial Industry Regulatory Authority and the SEC. [read post]
19 Jul 2007, 7:49 pm
Eventually, "Financial Industry Regulatory Authority" or "FINRA" was selected. [read post]
5 Jan 2023, 8:38 am
FINRA orders Center Street Securities to pay Restitution for Unsuitable GPB Sales According to a Letter of Acceptance Waiver and Consent on December 29, 2022, the Financial Industry Regulatory Authority (FINRA) has censured and fined Center Street Securities $70,000 and ordered the firm to pay partial restitution of $89,652.50, plus interest. [read post]
29 Dec 2022, 9:38 am
FINRA orders Moloney Securities to pay Restitution for Unsuitable GPB Sales According to a Letter of Acceptance Waiver and Consent on December 28, 2022, the Financial Industry Regulatory Authority (FINRA) has censured Moloney Securities Co. $60,000 and ordered the firm to pay partial restitution of $268,082.64, plus interest. [read post]
