Search for: "Financial Industry Regulatory Authority"
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7 Jul 2020, 8:49 am
Dewes after Allegations of Selling Away According to public records on the Financial Industry Regulatory Authority’s website, on March 30, Dewes allegedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into his potential alleged participation in undisclosed private securities transactions and outside business activities. [read post]
9 Dec 2017, 12:27 pm
Thereafter, The Financial Industry Regulatory Authority (FINRA) conducted its own investigation of Devlin’s trading activities. [read post]
28 Nov 2022, 9:02 am
Several rules are established that address communications involving employees in the private financial sector, including the Financial Industry Regulatory Authority’s Rule Series 4510. [read post]
21 Nov 2022, 9:02 am
Several rules are established that address communications involving employees in the private financial sector, including the Financial Industry Regulatory Authority’s Rule Series 4510. [read post]
2 Sep 2024, 7:27 am
Noteworthy among these are Relativity’s commitment to advancing social and racial justice through its Justice for Change program and KLDiscovery’s successful financial restructuring, which positions the company for continued growth. [read post]
20 Aug 2012, 11:27 am
If you invested with James Ryan Lanier and would like to speak to a securities attorney about your potential to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration please call the firm’s Chicago office at 312-238-9650. [read post]
20 Aug 2012, 11:27 am
If you invested with James Ryan Lanier and would like to speak to a securities attorney about your potential to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration please call the firm’s Chicago office at 312-238-9650. [read post]
6 Apr 2020, 6:16 am
To ensure the continued smooth operation of the interbank market given current economic conditions, the Hong Kong Monetary Authority (HKMA) has rolled out measures to assist the banking industry in managing liquidity. [read post]
6 Oct 2018, 6:04 am
From the securities and commodities industry to the financial services industry, cryptocurrencies face a variety of regulatory hurdles. [read post]
25 Jun 2018, 7:41 am
It was instead a series of arguments put forward by the U.S Chamber of Commerce and the Securities Industries and Financial Markets Association, alleging that DOL had overstepped the bounds of its authority in promulgating the expansive new set of rules. [read post]
28 Feb 2013, 10:42 am
A recent ruling by a hearing panel of the Financial Industry Regulatory Authority (“FINRA”) could provide a path to effectively kill customer class actions against brokers. [read post]
23 Aug 2018, 5:02 am
According to the Financial Industry Regulatory Authority (FINRA), Singer consented to the sanction and bar due to the fact that he refused to appear to the testimony. [read post]
20 Jul 2011, 9:53 am
Chamber of Commerce issued a report yesterday that the Dodd-Frank financial reform laws fail to address transparency and due-process problems at the Financial Industry Regulatory Authority Inc. [read post]
11 Mar 2022, 10:06 am
In 2018-19, nearly 80% of the annotated papers had some sort of corporate ties, by either author affiliation or funding. [read post]
25 Mar 2023, 5:20 pm
The formulation of industry standards for algorithmic applications has also improved compliance with requirements for financial innovations. [read post]
17 Mar 2020, 1:27 pm
auHash=zrsDVFen7QmUL6Xou7EIHYov4Y6IfrRTjW3KPSVukQs Financial Industry Regulatory Authority (“FINRA”) FINRA has taken a number of steps to provide guidance and relief to the industry. [read post]
30 Jun 2023, 10:15 am
FINRA Bars Wedbush Broker Jonathan Walter Way after Allegations of Sales Practice Violations On June 26, 2023, the Financial Industry Regulatory Authority (FINRA), the self-regulator who oversees brokers and brokerage firms, reportedly barred Jonathan Walter Way (CRD#: 1126849) from the securities industry. [read post]
17 Dec 2021, 9:39 am
All of the Financial Industry Regulatory Authority (FINRA) arbitration claims involving Dunn were brought in 2021. [read post]
12 Mar 2010, 12:09 am
These are the reduction in the use of CRAs by regulatory authorities and the introduction of competition in the CRA sector in India. [read post]
19 Apr 2021, 2:38 am
The agenda for the meeting included discussion on proportionality in DORA as well as scope and timeline of specific regulatory technical standards (RTS) and entry into force and application of DORA. [read post]
