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3 Aug 2009, 2:13 am
On 20 July 2009 the opposition Conservative party published a White Paper entitled 'Plan for Sound Banking' which proposes an overhaul of financial regulation, including the abolition of the FSA.Under the proposals, the current tripartite system would be disassembled and the FSA's main regulatory powers transferred to the Bank of England. [read post]
UK: The Financial Services Authority (FSA) Launches Discussion Paper (DP) on Increasing Transparency
30 May 2008, 8:28 am
Comments can be submitted using the electronic response form below.Electronic Response FormSee previous blog: UK: FSA has Postponed Discussion Paper on Regulatory Transparency [read post]
16 Mar 2022, 1:24 pm
One industry that recently was the focus of both regulatory action and securities litigation is the poultry production industry. [read post]
9 Sep 2022, 12:36 pm
FINRA Complaint: Joseph Stone Capital to pay Restitution to Customers for Commissions, Fees The Financial Industry Regulatory Authority (FINRA) on September 8, 2022 reportedly censured Joseph Stone Capital, LLC for supervisory failures in connection with suitability requirements involving excessive trading, according to a Letter of Acceptance Waiver and Consent. [read post]
4 Nov 2021, 6:08 am
This post is based on a recent paper, forthcoming in the NYU Journal of Legislation and Public Policy, authored by Mr. [read post]
30 Dec 2019, 5:47 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Keener’s customer complaint alleges that Keener recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
13 Nov 2013, 11:48 am
Cordray commented that the CFPB has no authority to enforce industry best practices, but the CFPB has other tools at its disposal. [read post]
30 Aug 2019, 8:50 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
30 Aug 2019, 6:26 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
31 Aug 2019, 8:08 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
28 Dec 2015, 9:30 pm
The Marijuana Industry’s Access to Banks Eric Schlabs | September 22 Vaults, armed guards, and paranoia are costs of doing business today in the recreational marijuana industry. [read post]
14 Jun 2013, 12:00 am
Department of Agriculture (USDA).The Consumer Financial Protection Bureau (CFPB) provided exemptions for certain creditors for Regulation Z which implements the Truth in Lending Act.The U.S. [read post]
14 Sep 2009, 8:00 am
The FSA may also modify listing or disclosure rules, or suspend trading of a financial instrument. [read post]
10 Mar 2023, 1:51 pm
This obligation exists under federal law and under the rules enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
2 Feb 2024, 6:00 am
The proposed legislation would amend the state’s banking law to give the department licensing and regulatory authority over BNPL providers and loans. [read post]
12 May 2020, 3:07 am
According to the Financial Industry Regulatory Authority, William Aubrey Morrow has reportedly been the broker of record for at least twelve (12) customer disputes for similar allegations. [read post]
26 Jan 2022, 11:04 am
Morgan’s traditional brokerage unit in high-risk equities and junk bonds–without authorization, according to the Financial Industry Regulatory Authority award. [read post]
28 May 2020, 9:05 pm
This approach aligns with the Federal Council’s controversial Ordinance on the Recapitalization of UBS AG in 2008 and with the Swiss Federal Supreme Court’s equally criticized UBS and Swiss Financial Market Supervisory Authority judgment. [read post]
1 Jun 2010, 11:23 am
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in May 2010: Mission Securities Corporation of San Diego, California, was expelled from FINRA membership and the firm's principal Craig Michael Biddick was barred from association with any FINRA member in any capacity. [read post]
1 Jun 2010, 10:23 am
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in April 2010: Mission Securities Corporation of San Diego, California, was expelled from FINRA membership and the firm's principal Craig Michael Biddick was barred from association with any FINRA member in any capacity. [read post]
