Search for: "Financial Industry Regulatory Authority"
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1 Oct 2020, 3:51 pm
For September we have provided a monthly recap of insurance regulatory COVID-19 updates. [read post]
22 Apr 2024, 10:00 pm
Consumer Regulatory Law Explore this overview of the federal legal framework for financial institutions and entities that provide consumer financial services. [read post]
10 Mar 2008, 7:52 am
Financial Services Authority. [read post]
26 Apr 2010, 9:43 am
As such, the Ombuds programs would would be similar to the Office of the Ombudsman for the Financial Industry Regulatory Authority. [read post]
25 Feb 2019, 12:53 pm
Welcome to the final article in our initial introduction to the insurance industry for Insurtechs. [read post]
10 Apr 2008, 9:50 am
According to the Wall Street Journal, the Securities and Exchange Commission and the Financial Industry Regulatory Authority are working together as they examine claims that broker-dealers misled investors into believing the instruments were as safe as cash. [read post]
17 Apr 2010, 7:13 am
" The New Regulators do not believe reform is possible without changing existing law surrounding the finance industry. [read post]
4 Jul 2010, 7:45 am
The Securities and Exchange Commission (the “SEC”) recently proposed to require the Financial Industry Regulatory Authority and the national securities exchanges (collectively, the “SROs”) to adopt a plan (the “Plan”) for the development, implementation and maintenance of a consolidated audit trail (“CAT”) for the listed equities and options markets. [read post]
23 Jun 2014, 9:30 pm
After separating general public commenters from those associated with the regulated industry, the authors found that financial professionals’ comments were the only ones that had a statistically significant predictive effect on the RegRank value of the promulgated rule. [read post]
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]
27 Feb 2017, 1:59 pm
The ESAs comment that it is unfortunate that the financial industry has not prepared for the implementation. [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]
