Search for: "Financial Industry Regulatory Authority"
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10 Oct 2013, 4:00 am
The Ontario Power Authority The ERA created a new entity called the Ontario Power Authority (the “OPA”). [read post]
18 Sep 2012, 6:18 am
The SEC and the CFTC are gradually implementing regulations so the full picture of the new derivatives regulatory framework has yet to emerge.On July 19, 2012, the CFTC published its final rule as to the so-called “end-user exception” that exempts certain non-financial counterparties which enter into swaps to hedge commercial risks from the clearing requirement. [read post]
28 Jan 2021, 7:27 pm
There is a string tendency among those who advance knowledge in this field to all too quickly assume that the answer is more traditional law and state interaction, rather than to consider alternatives: delegated authority, reinforcing private law systems, and markets. [read post]
14 Sep 2010, 1:54 pm
In March 2009, the Financial Industry Regulatory Authority (FINRA) officially opened an investigation into nontraded REITs with an examination of documentation and data from various brokers who sell the investments. [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]
14 Mar 2012, 7:24 am
The Financial Industry Regulatory Authority (“FINRA”) is a self-regulatory organization that oversees the financial investment industry and promulgates rules and regulations for broker-dealers and investment advisers. [read post]
17 Apr 2016, 1:01 pm
Private economic power has been separated from the public exercise of regulatory authority by states (eg here). [read post]
29 Sep 2020, 12:35 pm
He was recently named in two customer disputes filed in Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
24 Jul 2024, 3:29 am
Last week, two major stablecoin announcements were made to support Hong Kong’s efforts in facilitating the responsible development of its virtual asset ecosystem.[1] On 17 July 2024, the Financial Services and the Treasury Bureau (FSTB) and the Hong Kong Monetary Authority (HKMA) jointly published consultation conclusions on the proposed regulatory regime for stablecoin issuers in Hong Kong (Consultation Conclusions). [read post]
26 Nov 2015, 6:00 am
Specifically, the authority would oversee the bidding and management process for public contracts “to prevent favoritism, collusion and corruption in the allocation and management of public contracts in the construction industry. [read post]
9 Aug 2013, 12:51 pm
The bill explicitly does not confer any new regulatory authority. [read post]
12 Jan 2021, 7:18 am
According to a Letter of Acceptance, Waiver and Consent (AWC) signed on January 7, 2021, the Financial Industry Regulatory Authority (FINRA) has censured and fined VALIC Financial Advisors (CRD#: 42803) $350,000 for supervisory failures in connection with inappropriate VA exchanges. [read post]
10 Sep 2012, 7:23 am
In effect, the proposal could lead to a delay for a number of reforms in the financial industry. [read post]
6 Nov 2020, 7:39 am
The AMAC recommended permanent regulatory changes to these rules that will outlast the duration of the pandemic.Digital delivery. [read post]
10 Aug 2022, 6:14 am
” On January 7, 2021, the Financial Industry Regulatory Authority (FINRA) barred Shafer after FINRA staff requested that Shafer appear for on-the-record testimony in its investigation of the above allegations. [read post]
13 Sep 2022, 5:55 am
But this line of argument places too much faith in regulatory authorities which have, at times, been derelict in enforcing domestic and regional arms control laws. [read post]
10 Mar 2016, 9:40 pm
Government Accountability Office (GAO) reportedly has begun laying the groundwork for its first-ever investigation into Wall Street’s alleged “regulatory capture” of the Fed—a term used to describe the process by which regulatory agencies become dominated by the industries that they are charged with regulating, leading the agencies to act in ways that benefit those very industries, rather than the public. [read post]
31 Aug 2015, 8:10 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Armstrong has been the subject of at least three customer complaints, one employment separation, and one criminal matter. [read post]
2 Apr 2010, 6:49 am
The prospect of such a major shift in the allocation of regulatory authority has already raised a hue and cry from beneficiaries of the status quo in the federal regulatory agencies and the financial industry lobby.This article analyzes The Consumer Financial Protection Agency Act of 2009, as passed by the House of Representatives. [read post]
1 Oct 2019, 1:11 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Stanton’s customer complaints allege that Stanton recommended unsuitable securities and engaged in excessive trading and churning among other allegations of misconduct in the handling of customer accounts. [read post]
