Search for: "Financial Industry Regulatory Authority"
Results 5741 - 5760
of 11,298
Sorted by Relevance
|
Sort by Date
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]
16 Jan 2017, 1:06 pm
This information comes from a recent Investor Alert from the Financial Industry Regulatory Authority. [read post]
1 Sep 2012, 3:53 am
However, Lord Black has argued that his proposal is viewed as credible, and therefore likely to be effective, because it was formulated within the industry (Black 2012: para 8). [read post]
9 Feb 2010, 11:20 am
Hedge Fund Industry Supports EU OTC Derivatives Legislation; Wants CCP Global CompetitionThe hedge fund industry generally supports the broad concepts for derivatives legislation set forth by the European Commission as the EU commits to the passage of legislation this year. [read post]
16 Mar 2020, 8:45 am
For that reason, brokers are required to assess the suitability of such investment products on a customer by customer basis rather than suggesting them to all investors.The Financial Industry Regulatory Authority (FINRA) has cracked down on some firms about the risks associated with investing on non-tradition ETFs and has put out information on the its website. [read post]
30 Oct 2023, 11:00 pm
Federal and state regulatory agencies are focused on the actions of financial institutions and financial technology companies (fintech), with an emphasis on data privacy. [read post]
15 Feb 2018, 10:29 am
FINRA issues investor alert on Margin Trading According to the Financial Industry Regulatory Authority (FINRA), investor purchases of securities “on margin” averaged more than $592 billion for the first eleven months of 2017. [read post]
11 Nov 2011, 10:03 am
., and its subsidiary Morgan Stanley Smith Barney LLC, have been fined $1 million and censured by the Financial Industry Regulatory Authority, or FINRA, for excessive markups and markdowns that were charged to customers on corporate and municipal bond transactions. [read post]
17 Aug 2020, 4:00 am
Martin of Glorieta, New Mexico submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly engaging in unauthorized transaction in violation of NASD Rule 2510 and FINRA Rule 2010. [read post]
9 Jan 2020, 7:31 am
According to allegations in a recent Financial Industry Regulatory Authority Inc. [read post]
7 Nov 2024, 6:54 pm
The New York financial advisor was suspended by the Financial Industry Regulatory Authority (FINRA) for five months for allegedly unsuitable and excessive trading and violating Regulation Best Interest (Reg BI) while working with an older customer. [read post]
29 Sep 2015, 8:00 am
The DAA, a cross-industry, self-regulatory group of advertising and media companies, has until now focused its enforcement of the Principles exclusively on the desktop browser environment. [read post]
11 Feb 2013, 12:05 pm
The SEC announced the opening of registration for its National Compliance Outreach Program for Broker-Dealers that will take place in Washington D.C. on April 9.The event is sponsored by the SEC's Office of Compliance Inspections and Examinations in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA). [read post]
