Search for: "Financial Industry Regulatory Authority"
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23 Jul 2014, 8:59 am
The Financial Industry Regulatory Authority (FINRA) accused Mustaphalli of soliciting money for his fund, Mustaphalli Capital Partners, and receiving commissions over a six month period in 2011. [read post]
6 Jun 2022, 6:53 am
* The author would like to thank Summer Associate Melanie N. [read post]
7 Jul 2022, 11:30 am
Chamber of Commerce also sent two separate letters to Director Chopra as part of its announced campaign “to expose and defeat [Director Chopra’s] ideologically driven agenda to radically change the nature of America’s financial services industry. [read post]
31 Jan 2020, 11:13 am
According to BrokerCheck records, Genito was formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm PFS Investments Inc. [read post]
12 Mar 2017, 9:28 am
In Europe, interchangeability and/or substitution is a matter for national authorities in each member State. [read post]
20 Feb 2013, 9:23 am
The 2010 Dodd-Frank Act empowered the SEC to study the use of mandatory arbitration in the securities industry and consider whether to ban regulated firms from imposing mandatory arbitration on customers. [read post]
4 Nov 2009, 1:03 am
Treasury Department’s “Financial Regulatory Reform, A New Foundation: Rebuilding Financial Supervision and Regulation,” released on June 17, 2009. [read post]
16 May 2014, 6:22 am
Aziza summarize recent regulatory and enforcement actions taken by their respective agencies, but they also discussed what the consumer financial services industry can expect from the DFS and Attorney General in the coming months. [read post]
16 Jan 2013, 12:36 am
Consumer Financial Protection Bureau (CFPB). [read post]
27 Mar 2020, 8:27 am
Essential Businesses and Operations include insurance (Financial services) and are exempt from the restrictions. [read post]
11 Dec 2013, 7:03 am
In other circumstances, an investor may file a complaint with Financial Industry Regulatory Authority (FINRA). [read post]
31 Jul 2022, 9:01 pm
Today [July 29], the Commission unanimously voted to re-propose amendments to Rule 15b9-1 regarding when broker-dealers are required to register with the Financial Industry Regulatory Authority (FINRA). [read post]
19 Nov 2023, 9:01 pm
The approximately 500-page regulatory release accompanying the Proposal is complex and is still being analyzed across the financial services industry. [read post]
23 Feb 2024, 6:52 am
“Given those circumstances, there is no support for the proposition that Congress back in the 1930’s conferred on the SEC regulatory authority over the entire digital asset industry—let alone over the myriad other commodities and assets that the SEC’s sweeping approach would cover. [read post]
10 Sep 2024, 3:00 am
Cannabis and Financing Podcast Listen to a discussion about cannabis and the projected changes to U.S. legislation and the impact on financial and banking aspects of the industry. [read post]
10 Jun 2009, 3:00 am
The arbitration panel of the Financial Industry Regulatory Authority sided with the deceased’s estate and awarded the beneficiaries of her estate compensatory damages. [read post]
23 Nov 2019, 8:55 am
(Securities America) was subject to a regulatory investigation and barred form the industry according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
19 Aug 2022, 8:54 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
16 Apr 2018, 11:00 am
The Financial Industry Regulatory Authority Inc. barred Glick in 2014 and he had his certified financial planner designation and his certified public accountant license revoked for conduct unrelated to the SEC charge. [read post]
5 Jun 2024, 1:45 pm
June 2019 – The Financial Industry Regulatory Authority (FINRA) reportedly sanctioned Crown Capital Securities LP with a censure and fine of $75,000 after it failed to establish and maintain a supervisory system, to monitor mutual fund switches.The firm reportedly failed to reasonably supervise short-term switches of Class A mutual fund shares conducted by two firm registered representatives. [read post]
