Search for: "Financial Industry Regulatory Authority"
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19 Nov 2015, 9:50 pm
She argued that preemption is too often an “all-or-nothing” decision that affects an entire industry, and favors disaggregating industries into sub-issues for preemption purposes. [read post]
13 Jul 2009, 10:30 am
The new powers outlined for the SEC were part of the regulatory reform proposals released by the Obama administration in mid-June. [read post]
26 Apr 2022, 1:57 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute.The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
31 Oct 2018, 12:13 pm
Within 30 days of the broker’s termination, the brokerage dealer must file a Form U-5 with the Financial Industry Regulatory Authority pursuant to Article V, Section 3 of the FINRA by-laws. [read post]
10 Mar 2013, 9:30 pm
Politicians generate regulations in response to crises ranging from industrial disasters to financial collapses. [read post]
10 Aug 2016, 1:18 pm
This unprecedented growth prompted the Competition Bureau to identify FinTech companies as potential disruptors to the Financial Services industry and undertake a study to determine whether there should be regulatory reform as a result. [read post]
8 Apr 2019, 3:46 pm
Risk factors generally include information concerning: the issuer’s financial situation, business activities and industry; the nature of the security; external risks such as legal and regulatory, environmental, social and governance. [read post]
3 Dec 2010, 3:22 pm
Author: Joanna LiCalsi (Law Student, Investor Justice Clinic, University of San Francisco School of Law) In June 2009, the Financial Industry Regulatory Authority (FINRA) responded to the explosion in popularity of leveraged and inverse mutual funds and exchange traded funds (ETFs) and the detrimental losses they've caused to many confused investors, by issuing a Regulatory Notice to brokers and firms. [read post]
25 Mar 2011, 3:13 pm
An SRO may also lead to duplicative regulatory requirements, which in turn may lead to confusion over which body has regulatory responsibility. [read post]
3 Feb 2020, 6:53 am
Advisor Kenneth Guerra (Guerra), currently employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least two customer complaints, one financial disclosure, and one regulatory violation during the course of his career. [read post]
6 Nov 2023, 8:20 am
The regime may be adapted over time as the nascent industry evolves. [read post]
18 Dec 2019, 5:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Westenbarger’s customer complaint alleges that Westenbarger recommended unsuitable investments in a variety of investment products including alternative investments, non-traded REITs, variable annuities, corporate notes, and UITs among other allegations of misconduct relating to the handling of their accounts. [read post]
13 Oct 2017, 5:34 am
In addition, the former Ponzi scheme employees also claimed their request for arbitration with the Receiver should have been granted based on their written employment contracts with the Stanford Group and the Financial Industry Regulatory Authority’s arbitration rules. [read post]
16 Sep 2014, 11:40 am
Together, these constituted the sum of the law-making authority of the early Republic. [read post]
24 Aug 2020, 7:50 am
Similarly, greater effective adoption of reg tech by financial institutions would lead to cost reductions in regulatory compliance and processes, including fraud detection, regulatory reporting, data collection and risk management. [read post]
14 Aug 2022, 9:01 pm
Instead, our securities markets operate within an infrastructure of actors with defined roles and responsibilities who are comprehensively supervised by multiple federal, state and industry regulatory authorities. [read post]
20 Jun 2017, 8:21 pm
However, there is now a strong argument that change is definitely in the air for the financial services industry. [read post]
17 Dec 2021, 11:17 am
While the Financial Conduct Authority requires anyone offering consumer credit to be authorised, this is not currently the case with BNPL. [read post]
17 Dec 2021, 11:17 am
While the Financial Conduct Authority requires anyone offering consumer credit to be authorised, this is not currently the case with BNPL. [read post]
30 Sep 2009, 1:11 pm
In recent weeks, Health care reform and financial regulatory reform efforts by the Obama administration have been getting the majority of the media and public's attention, but at the same time reform and updating of the Toxic Substances Control Act (TSCA) has been in the background. [read post]
