Search for: "Financial Industry Regulatory Authority"
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12 Jun 2019, 12:32 pm
According to a Letter of Acceptance, Waiver & Consent signed on June 11, 2019, the Financial Industry Regulatory Authority (FINRA) has reportedly barred Nicolas J. [read post]
15 Oct 2012, 1:53 pm
Eccleston Law Offices counsels, represents and defends financial advisers nationwide in regulatory, compliance, disciplinary and employment matters in arbitration and litigation, and before regulatory bodies such as the SEC, FINRA and state securities regulators. [read post]
31 Jul 2019, 11:45 am
Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Federal Bureau of Investigation (FBI), the New York City Business Integrity Commission, and the New Jersey Bureau of Securities are all investigating GPB Capital and its various funds. [read post]
25 Dec 2012, 9:30 pm
The United States, like other industrialized countries, achieves this balance via patents. [read post]
13 Jul 2023, 12:22 pm
FINRA Accuses Eugene Kim (Gene Kim) of Broker Misconduct involving Private Placement Investment The Financial Industry Regulatory Authority (FINRA), the broker-dealer regulator, reportedly filed a complaint against broker Eugene H. [read post]
3 Nov 2015, 6:20 am
The Draft Insurance IT Rules follow the CBRC’s lead in making specific application of these policies to insurance, an industry of critical importance to China’s financial system and national economy. [read post]
14 Nov 2014, 12:19 pm
Regulatory actions include proceedings commenced by regulators, including the Securities and Exchange Commission and Financial Industry Regulatory Authority, which generally seek financial penalties and/or temporary or permanent bars from the securities industry. [read post]
20 Sep 2017, 9:17 am
Attorney’s Office for the Northern District of California, Federal Bureau of Investigation, Financial Industry Regulatory Authority, and Options Regulatory Surveillance Authority.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
22 Aug 2016, 5:00 am
By John Filar AtwoodThe SEC has issued an order approving a new set of rules drafted by the Financial Industry Regulatory Authority, Inc. [read post]
29 Jun 2023, 8:30 am
FINRA Bars Advisor Randall Skrabonja after Allegations of Selling Away without Firm Approval On June 26, 2023, the Financial Industry Regulatory Authority (FINRA), the self-regulator who oversees brokers and brokerage firms, reportedly barred Randall Skrabonja (CRD#: 1858245) from the securities industry. [read post]
14 Feb 2024, 5:43 am
The NPRM attempts to address gaps in the existing AML/CFT regulatory framework in this sector. [read post]
21 May 2012, 2:00 am
” Regulatory challenges are also reshaping financial business models. [read post]
2 Jul 2019, 6:32 pm
In June 2019 ASIC released its estimates for the Industry Funding levy for the 2018-19 financial year. [read post]
23 Jun 2009, 6:01 am
As The National Law Journal reported at the end of March, FINRA — the Financial Industry Regulatory Authority — oversees nearly 5,000 brokerage firms, 173,000 branch offices and 659,000 registered securities representatives. [read post]
10 Jan 2020, 6:53 am
A lower, first-tier, civil penalty was imposed in light of Alpine's financial condition. [read post]
31 Mar 2008, 5:48 am
In addition to the AP summary, it appears that the SEC's ex post regulation of financial products would change, and the Fed and Treasury would get way more authority over non-commercial bank financial institutions. [read post]
17 Oct 2013, 11:18 pm
Don't start counting your chickens until you ask yourself these questions: (1) Are you pursuing the correct regulatory approval, (2) Are you at the correct agency; and (3) Does the person you spoke to have authority to speak for the agency? [read post]
4 Jan 2015, 2:39 pm
Don't start counting your chickens until you ask yourself these questions: (1) Are you pursuing the correct regulatory approval, (2) Are you at the correct agency, and (3) Does the person you spoke to have authority to speak for the agency? [read post]
16 May 2019, 11:41 am
To “foster constructive innovative ideas to improve the industry,” OCC-supervised financial institutions (i.e., national banks) may submit an expression of interest and propose a pilot individually or as a collaborative effort among multiple banks. [read post]
6 Jul 2015, 9:30 pm
From defining the scope of financial fraud regulation to expanding the ways agencies may revise interpretations of their own rules, the Supreme Court’s regulatory decisions this term will shape the exercise of governmental authority for years to come. [read post]
