Search for: "Financial Industry Regulatory Authority"
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18 Dec 2017, 10:09 am
In terms of next steps, the FCA will: continue to monitor DLT-related market developments, and keep its rules and guidance under review in the light of those developments, although the FCA has not identified a need to propose specific rule changes at this juncture; continue with its close engagement with DLT use cases and industry stakeholders through its Innovate initiative; work closely with national and international regulatory bodies to shape regulatory developments… [read post]
1 Oct 2013, 3:04 pm
The Financial Industry Regulatory Authority has even posted warnings on its website about the dangers of REIT investing, yet many investors are never made aware of these risks by their brokers. [read post]
23 Dec 2008, 12:03 am
In Galvin's view, federal regulatory efforts have not kept pace with financial innovation and consolidation over the past ten years. [read post]
7 Sep 2023, 10:25 am
FINRA Arbitration and Mediation The Financial Industry Regulatory Authority, known as FINRA, is the self-regulatory body responsible for overseeing financial advisors and broker dealers. [read post]
3 Sep 2014, 9:30 pm
That regulatory agency then enacts the new code through regulation. [read post]
8 Oct 2007, 12:30 pm
For example, the regulatory body for the financial services industry in the United Kingdom, (the Financial Services Authority or "FSA"), has published its know your customer rules in Discussion Paper 22, at pages 9-13. [read post]
19 Jan 2009, 9:33 am
According to the Associated Press, the Financial Industry Regulatory Authority (FINRA) , confirmed there was no evidence of Madoff's secretive investment fund executing trades through his brokerage operation. [read post]
26 Feb 2010, 9:16 am
As reported in recent articles in Investment News, after the SEC filed fraud charges against Medical Capital Holdings Inc, the Financial Regulatory Authority indicated that it has “a number of investigations under way involving the allegations of wrongdoing arising from the sale of these ‘Reg D’ private placements. [read post]
18 Mar 2020, 7:32 am
Based on Cline’s official record with the Financial Industry Regulatory Authority (“FINRA”), the entity that regulates all brokerage firms and advisors, he is an employee of National Securities Corporation. [read post]
24 Aug 2018, 2:00 pm
The NRA says that the state, using its regulatory powers over those industries, is threatening financial companies that do business with the NRA. [read post]
9 Nov 2022, 10:49 am
Brokers, on the other hand, are required to register with the Securities and Exchange Commission (SEC) and a self-regulatory organization working under the SEC, the Financial Industry Regulatory Authority (FINRA). [read post]
25 Jul 2012, 10:25 am
” If the regulatory authorities aren’t going to stand up to banks doing illegal, improper, or unethical things, who exactly is? [read post]
25 Jul 2012, 10:25 am
” If the regulatory authorities aren’t going to stand up to banks doing illegal, improper, or unethical things, who exactly is? [read post]
20 Feb 2007, 4:58 am
At the end of this month, the House Financial Services Committee's oversight and investigations subcommittee chaired by Rep. [read post]
2 Jan 2024, 1:10 pm
Community Reinvestment Act and Financial Inclusion Review this practice note providing a comprehensive overview of legal, regulatory, and supervisory examination requirements for commercial banks and savings associations under the CRA. [read post]
3 Aug 2021, 2:10 am
This blog has been co-authored by: Hishaam Khan, candidate attorney While private equity funds are not regulated in South Africa, managers of such private equity funds are subject to the Financial Advisory and Intermediary Services Act (FAIS Act) and to the Financial Sector Conduct Authority (FSCA) in terms of the Financial Sector Regulation Act. [read post]
10 Feb 2017, 11:39 am
The creation of a commission had wide industry support but was controversial among congressional Democrats. https://tinyurl.com/jdtwuaz. [read post]
4 Jan 2011, 3:35 pm
The current lack of a convincing and comprehensive public answer or plan by state regulators in response to the skeptics left the door open for the brokerage industry's self-regulatory organization to insert its foot. [read post]
25 Jun 2024, 7:58 am
Final Rule Exceeds BOEM’s Statutory Authority Plaintiffs allege that by issuing the Final Rule, BOEM exceeded its statutory jurisdiction or authority granted by Congress under OCSLA. [read post]
11 Dec 2009, 11:38 am
House Passes Historic Financial Overhaul Legislation The House of Representatives passed historic legislation today overhauling the US financial regulatory system. [read post]
