Search for: "Financial Industry Regulatory Authority"
Results 5661 - 5680
of 11,234
Sorted by Relevance
|
Sort by Date
Investors Left Out of the Auction Rate Securities Regulatory Settlements Are Suing to Recover Losses
22 Jun 2009, 9:46 am
The Financial Industry Regulatory Authority (FINRA) has negotiated reimbursement schedules and fines with nine of its members, according to the article, including Janney-Montgomery Scott LLC, M&I Financial Advisors, Inc., M&T Securities Inc., and NatCity Investments Inc. [read post]
25 Oct 2007, 1:23 am
The planned suits follow a settlement last month between Morgan Stanley and the Financial Industry Regulatory Authority in which Morgan Stanley conceded it did not provide e-mails to claimants in arbitration proceedings from October 2001 to March 2005. [read post]
18 Feb 2024, 6:38 pm
Hopkins was barred by the Financial Industry Regulatory Authority (FINRA) in 2019. [read post]
8 Nov 2023, 10:14 pm
FINRA Rule 2111: Suitability FINRA Rule 2111 is a regulation established by the Financial Industry Regulatory Authority (FINRA), which governs the suitability of recommendations made by broker-dealers to their clients. [read post]
31 Jul 2019, 7:29 am
Concerning broker-dealers, for example, NSMIA preserved the states’ right to regulate broker-dealers in all areas except capital, custody, margin, financial responsibility, record keeping, bonding, and financial reporting requirements.Applying the above principles, Pieciak argued that Massachusetts’s preliminary rule proposal is a valid exercise of state regulatory authority because, as written, it does not obstruct Congress’s preemptive intent… [read post]
14 Apr 2020, 1:11 pm
FINRA Pandemic-Related BCP, Guidance and Regulatory Relief, Relating to Regulatory Filings, “Work from Home”, Cybersecurity, and Forms U4 and BR. [read post]
20 May 2024, 8:03 pm
Regulatory activity in the financial services sector picked up between February and April 2024. [read post]
14 Jun 2021, 1:05 pm
According to his broker profile, the Financial Industry Regulatory Authority (FINRA) reportedly barred McGonigle as of November 16, 2020 after he allegedly failed to respond to FINRA’s request for information. [read post]
28 Feb 2013, 11:58 am
Bogo A Financial Industry Regulatory Authority (“FINRA”) hearing panel held that FINRA’s own rules prohibiting judicial class action waivers in broker-dealer customer arbitration agreements are preempted by the Federal Arbitration Act and unenforceable. [read post]
13 Dec 2020, 9:06 pm
Economic deregulation of railroads was motivated largely by the industry’s financial crisis and congressional unwillingness to commit to perpetual subsidies for freight rail service. [read post]
9 Dec 2019, 4:17 am
Congress and the states in the past few decades encourage whistleblowers to report illegal corporate fraud to authorities. [read post]
25 Oct 2022, 7:21 pm
Most notably, we have filed a number of Financial Industry Regulatory Authority (FINRA) arbitration cases against this broker-dealer related to Northstar Financial Services (Bermuda) products. [read post]
14 May 2008, 8:59 am
(See: UK: Regulatory: Price Comparison Websites - an Unfair Comparison?) [read post]
12 Sep 2011, 6:00 am
Industry capture is definitely a big part of an explanation for this regulatory failure. [read post]
30 Nov 2017, 12:43 pm
Wall Street industry group SFIG joins the fray in U.S. [read post]
7 Oct 2015, 8:27 pm
This would apply generally to the consumer financial products and services that t [read post]
16 Jan 2024, 5:00 am
FinCEN reporting is among key regulatory examination priorities for 2024. [read post]
7 May 2012, 1:45 am
Martin Wheatley was previously the head of the SFC in Hong Kong and is now with the FSA and soon to be boss at the UK Financial Conduct Authority or FCA. [read post]
6 Jan 2017, 5:50 am
Securities and Exchange Commission, a choice which Trump said will advance “the financial security of the American people,” but which was reportedly criticized by progressive groups because of Clayton’s ties to the financial industry. [read post]
10 Mar 2024, 7:21 pm
The New York financial advisor was suspended for 18 months by the Financial Industry Regulatory Authority (FINRA) in January 2024 following allegations that he willfully violated Regulation Best Interest obligations after purportedly excessively trading in the accounts of customers, some of whom were elderly seniors. [read post]
