Search for: "Financial Industry Regulatory Authority"
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20 Jun 2022, 7:29 am
Candella served as an extern in the Enforcement Division of the Financial Regulatory Authority (FINRA), where she assisted in the investigation of member firms and associated persons for violations of federal securities laws and industry rules. [read post]
8 Oct 2010, 6:55 am
For those that find themselves victims of PONZI schemes, more troubling may be the fact that the regulators such as the United States Securities & Exchange Commission (SEC), Financial Industry Regulatory Authority and various states securities regulators may have received advanced warning in these schemes, but slow to act. [read post]
26 Feb 2010, 9:43 am
The Court also found that the qualifications of the arbitrator whose competency was questioned by Holland and the replacement of an arbitrator a day before the hearing were all in accordance with the Federal Arbitration Act and the arbitration rules established by the Financial Industry Regulatory Authority. [read post]
14 Aug 2019, 4:34 am
Legal and Regulatory Developments SPOTLIGHT: UK’s Financial Conduct Authority to Delay PSD2’s SCA, FT ReportsThe Paypers – August 8, 2019 The UK’s Financial Conduct Authority is set to delay enforcement of PSD2’s SCA by more than 18 months, after warnings that the rules would threat online sales. [read post]
26 Sep 2014, 6:58 am
The Financial Industry Regulatory Authority (FINRA) also fined LPL for multiple email failures in connection with the non-traded REITS. [read post]
16 Dec 2021, 10:30 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
2 Nov 2012, 11:52 am
S. 3468, Independent Agency Regulatory Analysis Act of 2012 Senators are also working to adjust the regulatory process to slow-down and derail implementation of Dodd-Frank’s overall rulemaking authority. [read post]
3 Oct 2016, 8:02 am
The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB) today announced the opening of registration for the Compliance Outreach Program for Municipal Advisors to be held on November 10 as a live webcast on the MSRB website. [read post]
12 May 2016, 9:30 pm
Food and Drug Administration (FDA) issued final rules that extend FDA authority to e-cigarettes and ban their sale to children under eighteen—a move applauded by public health experts, who say the industry needs oversight, but criticized by e-cigarette companies, who argue that the rules will overwhelm small businesses. [read post]
6 Jan 2021, 8:26 am
According to a Letter of Acceptance, Waiver and Consent (AWC) signed on December 31, 2020, the Financial Industry Regulatory Authority (FINRA) has censured and fined LPL Financial (CRD#: 6413) $6 million for several supervisory and compliance failures. [read post]
27 Jan 2024, 9:04 pm
There are multiple federal financial regulatory agencies involved, in addition to the Federal Trade Commission, the Department of Justice, the Consumer Financial Protection Board, and state authorities. [read post]
29 Apr 2024, 10:00 pm
Consumer Regulatory Law Access this practice note for a comprehensive review of the federal legal framework for financial institutions and entities that provide consumer financial services. [read post]
16 May 2016, 12:51 pm
As part of those efforts, the agencies are requesting that the Financial Industry Regulatory Authority (FINRA) consider a proposal to require its member brokers and dealers to report Treasury cash market transactions to a centralized repository.Treasury’s recent request for information (RFI) on the evolution of the U.S. [read post]
2 May 2008, 11:05 am
The Financial Services Authority ("FSA") published an interim report in respect of the Retail Distribution Review ("RDR") discussion paper it published in 2007. [read post]
21 Jun 2023, 2:28 pm
-listed China-based companies have been hit with securities class action lawsuits after Chinese government regulatory crackdowns that targeted the defendant companies’ industries or the companies’ business approach. [read post]
21 Sep 2008, 8:30 am
article from the New York Times is not getting more attention:The Bush administration today recommended the most significant regulatory overhaul in the housing finance industry since the savings and loan crisis a decade ago. [read post]
2 Sep 2022, 4:33 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
30 Nov 2018, 7:40 am
While the OCC’s position that the DFS lawsuit is not yet ripe for adjudication because the OCC has not yet approved a fintech charter may have some merit, it is important to the industry that the legal question of the OCC’s authority to issue such a charter get resolved expeditiously. [read post]
30 Oct 2014, 7:45 am
In the wake of the financial crisis of 2008, the Dodd-Frank legislation authorized the Securities Exchange Commission (SEC) to pass a fiduciary duty rule that would apply to brokers, as opposed to only financial advisors. [read post]
16 Jun 2024, 9:05 pm
While trucks and trains compete to deliver many of the same goods, they operate under different regulations and regulatory authorities. [read post]
