Search for: "Financial Industry Regulatory Authority"
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18 Feb 2016, 5:00 am
ESMA’s (European Securities and Markets Authority) follow-up analysis of the proxy advisory industry’s self-regulatory code of conduct, aka, Best Practice Principles for Providers of Shareholder Voting Research and Analysis, found that although the industry is “moving in the right direction,” the Best Practice Principles Group (composed of ISS, Glass Lewis, Manifest Information Services Ltd, PIRC Ltd, and Proxinvest) should focus… [read post]
22 Jun 2017, 2:48 pm
Whenever a brokerage firm terminates the employment of a broker or financial advisor, the firm must file a Form U5 – the Uniform Termination Notice for Securities Industry Registration – with the Financial Industry Regulatory Authority (FINRA) within thirty days of termination. [read post]
8 Apr 2019, 7:53 am
While it is unclear whether this approach will be adopted in Canada, it is a certainty that open banking will introduce a new compliance and regulatory regime for the financial services industry. [read post]
29 Aug 2023, 3:00 am
Read now » Related Content Consumer Financial Protection Bureau Regulatory Enforcement Tracker (Cybersecurity and Privacy) Bookmark this federal agency enforcement decision tracker highlighting key recent guidance and enforcement actions undertaken by the Consumer Financial Protection Bureau (CFPB) regarding compliance with CFPB privacy and cybersecurity regulations. [read post]
3 Nov 2021, 8:30 am
It aggregates official government data from regulators such as the Environment Agency, the Financial Conduct Authority, and the Employment Tribunal. [read post]
22 Mar 2012, 8:17 am
Kelly 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 White Law Group’s Chicago office at 312-238-9650. [read post]
8 Apr 2020, 11:16 am
According to public records on the Financial Industry Regulatory Authority’s website, on April 8, New 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]
20 Jan 2016, 7:29 am
According to BrokerCheck, as maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
9 Mar 2020, 9:03 pm
It took the Great Recession to get the Dodd-Frank financial sector regulatory reforms enacted, and that act is under relentless attack. [read post]
27 Mar 2020, 8:36 am
Financial Security for Inactive Wells with Future Utility: Conservation stated that in addition to the standard one-year window in which to obtain financial security, it will consider the current industry crisis as sufficient cause for an extension and will grant a request for an extension by any operator. [read post]
11 Nov 2009, 3:52 am
The ONI is designed to promote national coordination within the insurance sector, and would have the authority to perform the following functions: (1) monitor all aspects of the insurance industry, including identifying issues or gaps in the regulation of insurers that could contribute to a systemic crisis in the insurance industry or the United States financial system; (2) recommend to the Agency for Financial Stability that it designate an… [read post]
3 Oct 2023, 8:00 am
Check out our Practical Guidance Author Center ! [read post]
3 Oct 2023, 8:00 am
Check out our Practical Guidance Author Center ! [read post]
4 Nov 2011, 10:48 am
UBS Securities LLC was fined $12 million and censured by the Financial Industry Regulatory Authority, or FINRA, for widespread system deficiencies and a failure to supervise that led to tens of millions of improper short sales. [read post]
10 Oct 2013, 9:58 am
According to the Financial Industry Regulatory Authority (FINRA), securities purchased on margin averaged more than $320 billion per month in 2012. [read post]
1 Jul 2015, 7:17 am
Morgan Chase’s motion to compel arbitration of putative class and collective claims concerning overtime violations, the Second Circuit ruled that a district court correctly read an arbitration agreement to incorporate Financial Industry Regulatory Authority (FINRA) rules, which bar FINRA arbitrators from hearing class and collective claims. [read post]
11 Apr 2023, 2:10 am
FINRA Rule 5310 is a regulation created by the Financial Industry Regulatory Authority (FINRA) that governs best execution practices for broker-dealers. [read post]
2 May 2021, 9:05 pm
The Financial Industry Regulatory Authority’s (FINRA) current exam priorities are more explicit. [read post]
20 Feb 2018, 2:35 am
The report assesses how technology driven innovation in financial services may affect the banking industry and the activities of supervisors in the near to medium term. [read post]
2 Jul 2017, 3:44 pm
The UK perspective In April the UK’s regulator, the Financial Conduct Authority (FCA), published a discussion paper on DLT. [read post]
