Search for: "Financial Industry Regulatory Authority"
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3 May 2013, 2:36 pm
Thus, the industry supports the Financial Competitive Act, H.R. 1341, authored by Rep. [read post]
31 Mar 2011, 6:31 am
The FIO has no regulatory authority over the business of insurance. [read post]
21 May 2024, 9:32 am
Digital Securities Sandbox: The BoE and the Financial Conduct Authority (FCA) are currently consulting on the operation of the Digital Securities Sandbox (DSS) – a new ‘test’ regulatory regime that allows firms to use developing technologies that would otherwise not be permitted (e.g. distributed ledger technology (DLT)) to issue trade and settle securities in a live environment – in order to support that proactive approach. [read post]
11 Oct 2018, 5:03 pm
The Financial Industry Regulatory Authority barred Schmidt in March. [read post]
19 May 2017, 7:34 am
Both the FTC and CFPB have certain authority to take enforcement actions to address deceptive acts by nonbank providers of prepaid cards and other consumer financial services (the agencies manage their shared authority pursuant to a memorandum of understanding (MOU)). [read post]
21 Oct 2021, 9:03 pm
The South African Health Products Regulatory Authority announced that it would not approve the Sputnik-V COVID-19 vaccine for use. [read post]
24 May 2017, 9:18 am
The Financial Industry Regulatory Authority is contemplating on joining two of its enforcement programs to streamline its processes.At the moment, FINRA has two separate enforcement systems, one in its member regulation group, which focuses on their employees and member companies, and another in its market regulation group, which manages over-the-counter trading. [read post]
11 Apr 2014, 3:11 pm
Apparently the opportunity for bad brokers to engage in wrongful conduct is enabled by big brokerage firms, as recent Financial Industry Regulatory Authority (FINRA) fines indicate that these businesses fail to properly supervise their foot soldiers. [read post]
26 Apr 2019, 8:28 am
According to a report issued by the Financial Industry Regulatory Authority, Inc., the U.S. [read post]
9 Feb 2010, 12:26 pm
Shapiro is the former CEO of the Financial Industry Regulatory Authority (FINRA), which is funded by its brokerage firm members. [read post]
15 Feb 2023, 8:18 pm
Complainants were often not informed when the maximum timeframe for response had elapsed, impacting their ability to refer their complaint to the Australian Financial Complaints Authority (AFCA). [read post]
13 Jun 2016, 9:30 pm
Regulatory capture is a big deal. [read post]
25 Mar 2009, 5:18 pm
The Financial Industry Regulatory Authority (FINRA) says that $3 million will serve as a fine for the alleged misconduct and the remaining $4.2 million will provide restitution to the 90 individuals who took early retirement in reliance on Morgan Stanley's brokers' advice. [read post]
17 Apr 2023, 12:40 pm
Equity for Unsuitable VA Sales In May 2021, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, censured and fined O. [read post]
24 May 2024, 12:37 am
The following regulators received a letter: the Financial Conduct Authority (FCA) the Bank of England (BoE) the Information Commissioner’s Office (ICO) the Office of Communications (Ofcom) the Medicines and Healthcare products Regulatory Agency the Office for Nuclear Regulation (ONR) the Health and Safety Executive (HSE) the Office for Standards in Education, Children’s Services and Skills the Office of Qualifications and Examinations Regulation the Legal… [read post]
1 Nov 2010, 2:19 pm
The staff is working with the SEC's Trading and Markets and Investment Management divisions as well as conducting outreach to industry groups, including the Financial Industry Regulatory Authority, the Securities Industry and Financial Markets Association, and the Investment Company Institute.In addition, the report noted efforts to better understand the impact on issuers. [read post]
24 Jul 2022, 11:30 pm
This will provide the Financial Sector Conduct Authority with regulatory oversight over the cryptocurrency market. [read post]
21 May 2009, 1:56 pm
FINRA, the Financial Industry Regulatory Authority, brought over 3,000 enforcement actions against financial firms and sales people for violations against seniors in the seven years through January as compared with about 1,750 actions related to people approaching retirement. [read post]
26 Jun 2010, 9:21 am
Industry analysts predicted that banks would most likely adapt easily to the new regulatory framework and thrive. [read post]
22 Jul 2012, 10:30 am
The UK Financial Reporting Council eschews EU regulation of proxy advisory services at this time in favor of an EU-wide Code of Conduct. [read post]
