Search for: "Financial Industry Regulatory Authority"
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3 Oct 2023, 6:30 am
The new dispensation called for “a judicial willingness to appreciate the legitimate and constitutionally-ordained province of administrative agencies; to admit the expertise of those agencies in policy-laden or polycentric issues; to accord their interpretations of fact and law due respect; and to be sensitive, in general, to the interests legitimately pursued by administrative bodies and the practical and financial constraints under which they operate. [read post]
2 Oct 2023, 10:56 am
For further updates on regulatory developments in the ESG space please visit our Financial Services Regulatory Developments in ESG hub. [read post]
2 Oct 2023, 5:55 am
The EPA is responsible for defining the term, and federal courts must weigh whether the EPA definition falls within the federal government’s regulatory purview as authorized by the CWA. [read post]
1 Oct 2023, 8:08 am
On July 12, 2023, an individual named Luke Michael Johnson was accused in a FINRA (Financial Industry Regulatory Authority) complaint of making unsuitable recommendations to customers. [read post]
1 Oct 2023, 8:04 am
On July 20, 2023, Robert Spencer Gerstein, based in Boca Raton, Florida, was subject to an AWC (Acceptance, Waiver, and Consent) by FINRA (Financial Industry Regulatory Authority). [read post]
1 Oct 2023, 7:45 am
On July 17, 2023, FINRA issued an AWC (Acceptance, Waiver, and Consent), resulting in Spartan Capital broker Murat Kartal’s suspension from association with any FINRA (Financial Industry Regulatory Authority) member for 10 months. [read post]
29 Sep 2023, 10:20 pm
The post Freedom and Fairness in the Gig Economy first appeared on The Regulatory Review. [read post]
29 Sep 2023, 12:03 pm
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market…Read the Full Press Release Have a securities law question? [read post]
29 Sep 2023, 7:55 am
There were also items exercising new authorities granted under Dodd-Frank. [read post]
28 Sep 2023, 12:22 pm
FINRA Rules and Suitability of Alternative Investments The Financial Industry Regulatory Authority (FINRA) has rules regulating broker dealers’ sales of investments. [read post]
28 Sep 2023, 10:03 am
Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority. [read post]
27 Sep 2023, 7:30 am
Easy Way to Check your Broker – FINRA BrokerCheck Most CFP professionals fall under the jurisdiction of the Financial Industry Regulatory Authority (FINRA) and/or the U.S. [read post]
26 Sep 2023, 11:22 am
The Financial Industry Regulatory Authority (FINRA) offers a streamlined and cost-effective dispute resolution forum for resolving disputes in the securities industry. [read post]
22 Sep 2023, 6:54 am
Monique Limón, a Democrat who authored the legislation. [read post]
21 Sep 2023, 9:01 pm
The agency, Block-Lieb emphasized, still cooperates with other regulatory bodies and responds to political and industry forces. [read post]
21 Sep 2023, 7:57 am
Private Securities Transactions (Selling Away) FINRA (Financial Industry Regulatory Authority) has specific rules and regulations regarding private securities transactions, often referred to as “selling away. [read post]
20 Sep 2023, 11:39 am
On July 25, 2023, the Financial Industry Regulatory Authority (FINRA) issued a Letter of Acceptance, Waiver, and Consent (AWC) against LPL Financial LLC, a prominent independent securities broker headquartered in Fort Mill, South Carolina. [read post]
20 Sep 2023, 5:52 am
There are regulatory authorities like the SEC and the Financial Industry Regulatory Authority (FINRA) that help you if you have been defrauded. [read post]
19 Sep 2023, 11:56 pm
If the brokerage firm does sue the former financial advisor, such a suit will likely be filed with The Financial Industry Regulatory Authority (FINRA). [read post]
19 Sep 2023, 9:01 pm
Commenters were also concerned about whether the PCAOB has the requisite authority to expand auditor responsibilities. [read post]
