Search for: "Financial Industry Regulatory Authority"
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21 Jun 2010, 6:22 pm
Title IV: - RAISING STANDARDS AND REGULATING HEDGE FUNDS AGREED TO · Fills Regulatory Gaps: Ends the “shadow” financial system in which hedge funds and private equity funds operate by requiring those that manage over $150 million in assets provide regulators with critical information. [read post]
7 Dec 2016, 6:40 am
On March 23, 2016, the Securities and Exchange Commission (“SEC”) approved the adoption of FINRA Rule 2273, a rule first proposed by the Financial Industry Regulatory Authority (“FINRA”) on December 16, 2015. [read post]
7 Dec 2016, 6:40 am
On March 23, 2016, the Securities and Exchange Commission (“SEC”) approved the adoption of FINRA Rule 2273, a rule first proposed by the Financial Industry Regulatory Authority (“FINRA”) on December 16, 2015. [read post]
23 Jan 2011, 10:18 am
Until that date, rulemaking authority under federal consumer financial law remains with the federal regulatory agencies that currently have such rulemaking responsibilities. [read post]
1 Sep 2016, 1:54 pm
McAllister was formerly registered to sell securities from December 2011 to February 2016 with Edward Jones a broker-dealer in Ocean City, New Jersey, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
1 Sep 2016, 1:54 pm
McAllister was formerly registered to sell securities from December 2011 to February 2016 with Edward Jones a broker-dealer in Ocean City, New Jersey, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
25 Aug 2022, 8:32 am
FINRA Censures and Fines Capital Investment Group Inc. for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on August 22, 2022, the regulator censured and fined Capital Investment Group Inc. $50,000 and ordered the firm to pay partial restitution of $64,800, plus interest. [read post]
6 Sep 2022, 9:07 am
FINRA Censures and Fines Sanctuary Securities Inc. for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on September 2, 2022, the regulator censured and fined Sanctuary Securities Inc. [read post]
1 Dec 2023, 10:24 am
On November 17, 2023, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s request to loosen supervision standards for remote offices, thereby making it far easier for stockbrokers to sell inappropriate, if not outright fraudulent, investments to their clients. [read post]
16 Nov 2017, 10:39 am
Hornor Townsend & Kent – Failure to Supervise Variable Annuity Share Class Recommendations According to the Financial Industry Regulatory Authority, Hornor Townsend & Kent in Horsham, PA has reportedly been censured and fined $275,000 for supervisory issues. [read post]
14 Dec 2021, 9:00 am
FINRA Sanctions Wells Fargo and four other BDs for excessive sales charges According to The Financial Industry Regulatory Authority on December 13, the regulator has reached settlements with Wells Fargo and four other broker-dealers and obtained more than $16.8 million in restitution to approximately 10,000 investors for the firms’ failures to reasonably supervise early rollovers of unit investment… [read post]
11 Nov 2011, 1:26 am
The rule would require CUSOs to use GAAP accounting, prepare quarterly financial reports and get annual audits.[1] The board also proposed limiting federally insured state-chartered credit unions’ aggregate cash outlays to a CUSO.[2] Finally, the rule would expand the definition of a CUSO to include CUSO subsidiaries.[3] NCUA stated two reasons for regulatory authority over all CUSOs. [read post]
29 Oct 2018, 12:00 am
As regulation develops, the eyes of the crypto industry will look to financial regulators around the world to understand how they can operate within these emerging landscapes. [read post]
21 Nov 2016, 9:30 pm
Given that Britain’s financial services industry is currently regulated by EU law, Ferran emphasizes that it should not be difficult to pass an equivalence test in the immediate aftermath of a hard Brexit. [read post]
18 Dec 2023, 10:00 pm
Consumer Regulatory Law Get an overview of the federal legal framework for financial institutions and entities that provide consumer financial services. [read post]
2 Sep 2014, 9:13 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Great American Advisors, Inc. [read post]
29 Sep 2017, 8:05 am
” These words from the Financial Industry Regulatory Authority (FINRA) underscore one of the hidden risks associated with the recent hurricanes that ravaged the southern and southeastern United States. [read post]
28 Jun 2022, 5:26 am
The Financial Industry Regulatory Authority (FINRA) regulates securities brokers and brokerage firms, and FINRA arbitration provides a streamlined forum for defrauded investors to pursue claims for recovery. [read post]
19 Oct 2013, 10:49 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Capstone Asset Planning Company (CAPCO) alleging that from 2010 through 2012, CAPCO distributed communications to the public concerning the Capstone Fund that failed to accurately reflect the change in the fund’s performance. [read post]
19 May 2023, 12:50 pm
FINRA says Dual Registrants may be Exploiting Clients with Commissions plus Fees According to Advisor Hub this week, The Financial Industry Regulatory Authority (FINRA) is reportedly keeping an eye on hybrid brokers and investment advisors who may be using their dual status to maximize the fees and commissions they receive from customers. [read post]
