Search for: "Financial Industry Regulatory Authority"
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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]
18 Apr 2023, 1:39 am
The publication is designed to provide guidance to the financial services industry on how to develop, implement and maintain an effective anti-bribery and corruption (ABC) compliance programme, and should be read in conjunction with applicable legislation, regulation, and guidance issued by authorities in the jurisdictions in which a financial institution conducts business. [read post]
8 Sep 2016, 7:13 am
According to the Financial Industry Regulatory Authority there has been a rash of “mystery shopper,” “modeling” and other job-search scams in which individuals receive checks that appear to be from legitimate companies—including FINRA. [read post]
2 Apr 2020, 7:08 am
These announcements set some important pointers to the financial services industry and we expect further communications from the FCA on these specific areas. [read post]
9 Aug 2007, 5:43 am
In addition to presenting research findings at prominent industry events, Babineau co-authored the Impact Report, Compliance: The Effect of Information Management and the Storage Industry. [read post]
30 Jul 2012, 1:25 pm
The brokerage firm Charles Schwab & Co. had sought a declaratory judgment to the effect that the Financial Industry Regulatory Authority (FINRA) could not prevent Schwab from adding a class action waiver to its customer account agreements. [read post]
31 Aug 2020, 4:00 am
Ronald Walter Hannes of Spokane, Washington submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly failing to produce documents and information requested by FINRA in violation of FINRA Rules 8210 and 2010. [read post]
23 May 2016, 4:45 am
Now that Pennsylvania has become the latest state to authorize medical marijuana, many people will look to invest in this industry. [read post]
9 Sep 2021, 11:24 am
FINRA Sanctions Santander Investment Securities for Inaccurate Disclosures According to the Financial Industry Regulatory Authority (FINRA) on September 7, 2021, the regulator has censured and fined Santander Investment Securities (CRD #37216) $175,000 for inaccurate and omitted disclosures. [read post]
27 Sep 2021, 11:43 am
Edward Turley, JP Morgan Advisor, Fired after Customer Lawsuits According to the Financial Industry Regulatory Authority (FINRA), JP Morgan Securities has reportedly dismissed broker Edward Turley (CRD#: 1872294) of San Francisco, California after five pending customer complaints were reportedly filed against him between May 2020 and July 2021. [read post]
10 Nov 2020, 8:55 pm
This vision is based not on a race to the bottom, but for a financial services industry that is open, innovative and leads the world in the use of green finance. [read post]
15 Jul 2014, 8:54 am
A simple inquiry of the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck or an internet search on any given firm or investment advisor will often reveal incident after incident of malfeasance on the part of many of these firms and advisors. [read post]
15 Jul 2014, 8:54 am
A simple inquiry of the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck or an internet search on any given firm or investment advisor will often reveal incident after incident of malfeasance on the part of many of these firms and advisors. [read post]
31 Jul 2014, 5:59 am
As is often the case, the SEC comes to mind, because it is the one agency that has some regulatory authority over large companies across all industries. [read post]
13 Jan 2021, 7:01 am
Barber Barred from the securities industry. [read post]
31 Jul 2024, 3:48 pm
Between 2021 and 2023, there was a sharp increase in the number of death benefits complaints to the Australian Financial Complaints Authority (AFCA). [read post]
17 Jun 2009, 3:02 am
It would allow U.S. insurers to compete successfully in the global marketplace by creating a federal authority to represent the industry when negotiating international insurance and reinsurance regulatory standard setting and mutual recognition agreements. [read post]
12 Feb 2024, 10:00 pm
Check out our Practical Guidance Author Center ! [read post]
11 Feb 2018, 9:30 pm
The rail industry supports making rate disputes less time consuming and expensive, but that must not include redefining revenue adequacy beyond a benchmark of financial health. [read post]
20 Mar 2013, 12:39 pm
Most securities arbitrations take place under the rules of the Financial Industry Regulatory Authority (FINRA), as virtually all brokerage firms require members to arbitrate customer complaints upon the customer's request and then create customer agreements containing arbitration clauses. [read post]
