Search for: "Financial Industry Regulatory Authority"
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14 May 2012, 3:57 pm
However, they have the right to opt-in to full authorization in order to benefit from these passports. [read post]
2 Feb 2013, 2:02 pm
The Promoting and Regulating Fee-Based Advice on Financial Instruments Act represents an additional building block in the new regulatory framework for financial markets and strengthens the rights of investors. [read post]
16 Oct 2012, 2:09 pm
He reported that the Financial Industry Regulatory Authority ("FINRA") is examining how major banks and brokerage firms define and deal with conflicts of interest between themselves and their clients. [read post]
5 Feb 2013, 1:41 pm
The Promoting and Regulating Fee-Based Advice on Financial Instruments Act represents an additional building block in the new regulatory framework for financial markets and strengthens the rights of investors. [read post]
21 Dec 2020, 7:26 am
He stated, "In fact, they can proceed immediately, as they have the authority and the responsibility to manage risks to the financial system and this includes financial risks. [read post]
11 Mar 2022, 10:05 am
. $2 Million For Best Execution Violations The Financial Industry Regulatory Authority (FINRA) announced that it has fined Deutsche Bank Securities, Inc. $2 million for failing to comply with its obligation to seek “best execution” for its customers’ orders, according to a press release on March 8. [read post]
23 Nov 2022, 8:48 am
FINRA Reportedly Suspends Hugh “Hobby” Barndollar for Two Years after allegations of unapproved securities transactions According to public records posted on FINRA’s website today, the Financial Industry Regulatory Authority has reportedly suspended registered investment advisor and broker Hugh “Hobby” Barndollar (CRD#: 3027317) for two years and fined him $10,000. [read post]
24 Apr 2015, 4:09 pm
However, he noted that there still may be more to do, such as: expand its focus on disclosures to include all complex securities sold to retail investors and work to include the NASAA and the Financial Industry Regulatory Authority in this effort. [read post]
21 Nov 2012, 5:06 pm
In the aftermath of the global financial crisis as well as the Madoff scandal, regulators around the world have increased oversight of the industry to restore investor confidence and avoid a build-up of systemic risks in the industry. [read post]
19 Feb 2019, 1:09 pm
Kestra to Pay Retirement Plans and Charitable Organizations Back $1.95M Over Missed Mutual Fund Fee Waivers The Financial Industry Regulatory Authority (FINRA) has fined Kestra Investment Services, a Texas-based brokerage firm, $225K for not granting fee waivers to certain charitable organizations and retirement plans when they purchased certain mutual fund share classes. [read post]
15 Jun 2017, 9:30 pm
The case, brought by five providers of inmate payphones along with state and local officials, contested the FCC’s “design to expand the FCC’s regulatory authority. [read post]
3 Apr 2012, 8:51 am
In 2005, while employed by the investment branch of SunTrust Banks Inc., Miller was linked by a Financial Industry Regulatory Authority document to sales of unregistered stock in the Knoxville-based IdleAire venture. [read post]
28 Jun 2016, 1:37 pm
., a Garden City, New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
4 Dec 2009, 1:45 am
Industry commentators suggest this requirement was included to give Congress time to take action against any determination if necessary. [read post]
28 Nov 2022, 12:04 pm
In the meantime, more questions than answers remain regarding the regulatory framework for offshore CCS. [read post]
2 Mar 2020, 3:23 pm
February has also seen the welcoming of proposals from both ASIC and the Australian Prudential Regulatory Authority (APRA) as co-regulators of the superannuation industry as well as the passing of the anticipated bill broadening the scope of Australia’s Fintech sandbox. [read post]
22 Apr 2024, 9:13 am
On 22 April 2024, the Financial Conduct Authority (FCA) published a speech by its chief executive, Nikhil Rathi, entitled ‘Navigating the UK’s Digital Regulation Landscape: Where are we headed? [read post]
23 Apr 2024, 1:49 am
On 22 April 2024, the Financial Conduct Authority (FCA) published a speech by its chief executive, Nikhil Rathi, entitled ‘Navigating the UK’s Digital Regulation Landscape: Where are we headed? [read post]
27 Aug 2024, 1:00 am
Earlier this year, the SEC and the Financial Industry Regulatory Authority (FINRA) released their respective annual reports setting out their priorities for the year ahead, which include a clear focus on cybersecurity. [read post]
31 Mar 2009, 2:21 pm
The arbitration was conducted by the Financial Industry Regulatory Authority, or FINRA (formerly NASD Dispute Resolution). [read post]
